DAY THERAPY CENTRE PROGRAM PROGRAM MANUAL

Transcription

DAY THERAPY CENTRE
PROGRAM
PROGRAM MANUAL
Version 1 – July 2012
Program Manual for DTC PROGRAM
2
TABLE OF CONTENTS
1
Preface ............................................................................................................................................... 7
2
Introduction....................................................................................................................................... 8
2.1
Purpose of this Program Manual ............................................................................................. 8
2.2
Acronyms ................................................................................................................................. 8
2.3
Definitions ................................................................................................................................ 9
3
Day Therapy Centre Program and Policy Overview ................................................................... 11
3.1
DTC Program - Introduction .................................................................................................. 11
3.2
Objective of the DTC Program .............................................................................................. 11
3.3
Therapy and Services............................................................................................................ 11
3.4
Substitution of Therapy and Services .................................................................................... 11
3.5
Policy Context ........................................................................................................................ 12
3.6
Other Program Manuals ........................................................................................................ 13
4
Service Delivery .............................................................................................................................. 14
4.1
Overview ................................................................................................................................ 14
4.2
Access to the DTC Program .................................................................................................. 14
4.3
Eligibility ................................................................................................................................. 14
4.4
Referral .................................................................................................................................. 15
4.5
Assessment, Review and Discharge ..................................................................................... 15
5
DTC Program Provider Planning, Management and Administration ........................................ 16
5.1
Overview ................................................................................................................................ 16
5.2
Organisation Policies ............................................................................................................. 16
5.3
Consumer rights and responsibilities .................................................................................... 16
5.4
Staffing and Training ............................................................................................................. 16
5.5
Contractors ............................................................................................................................ 17
5.6
Work Health and Safety (Previously Occupational Health and Safety) ................................ 18
5.7
Requirement for a Police Check ............................................................................................ 19
5.8
Relocation of Services ........................................................................................................... 19
5.9
Changing the Name of a Service .......................................................................................... 20
6
Material and Information ................................................................................................................ 21
6.1
Overview ................................................................................................................................ 21
6.2
Acknowledgement of the Australian Government ................................................................. 21
7
DTC Funding ................................................................................................................................... 22
7.1
Overview ................................................................................................................................ 22
7.2
Operational Funding .............................................................................................................. 22
7.3
One-off Funding ..................................................................................................................... 22
7.4
Managing Funds .................................................................................................................... 23
7.5
Establishment/Set Up Funds ................................................................................................. 23
7.6
Payment of Funding .............................................................................................................. 24
7.7
Unspent Funds and Carry-overs ........................................................................................... 24
7.8
Variations and Indexation ...................................................................................................... 25
7.9
Flexibility of Therapy and Services ........................................................................................ 25
3
7.10
7.11
7.12
Managing Funding from Department and Other Agencies.................................................... 25
Assets .................................................................................................................................... 26
Vehicles ................................................................................................................................. 27
8
Fees and Contributions ................................................................................................................. 28
8.1
Organisation‘s Policy ............................................................................................................. 28
8.2
Charging Fees ....................................................................................................................... 28
8.3
Use of collected Fees ............................................................................................................ 29
8.4
Other Contributions ............................................................................................................... 29
9
Notification of Incidents and Issues ............................................................................................. 30
10
Local Stakeholder Engagement .................................................................................................... 32
11
Service Development ..................................................................................................................... 33
12
Dealing with Risk ............................................................................................................................ 34
12.1 Overview ................................................................................................................................ 34
12.2 Insurance ............................................................................................................................... 35
13
Activity Continuity .......................................................................................................................... 36
14
Accountability and Reporting ....................................................................................................... 37
14.1 Overview ................................................................................................................................ 37
14.2 Financial Accountability Reports and the Acquittal Process ................................................. 37
14.3 Service Activity Reports......................................................................................................... 39
14.4 Service Activity Data Collection ............................................................................................. 39
14.5 Proportional Reporting........................................................................................................... 41
14.6 Quality Reporting ................................................................................................................... 41
14.7 Common Standards ............................................................................................................... 42
14.8 ‗No response‘ Guidelines ...................................................................................................... 42
14.9 Software ................................................................................................................................ 42
14.10 Performance Management .................................................................................................... 43
15
Record Keeping .............................................................................................................................. 44
15.1 Overview ................................................................................................................................ 44
15.2 Financial Records .................................................................................................................. 44
15.3 Client Records ....................................................................................................................... 44
16
Confidentiality and Privacy ........................................................................................................... 46
16.1 Confidentiality Overview ........................................................................................................ 46
16.2 National Privacy Principles and the Australian Information Commissioner .......................... 46
16.3 Collecting Client Information ................................................................................................. 46
17
Complaints and Feedback ............................................................................................................. 47
17.1 Complaint Management Process .......................................................................................... 47
Appendix 1
Charter of Rights and Responsibilities for Community Care .............................. 49
Appendix 2
Transition-Out Plan Guide....................................................................................... 54
4
Appendix 3
Commonwealth HACC Police Certificate Guidelines ........................................... 57
1
INTRODUCTION .............................................................................................................................. 58
2
YOUR OBLIGATIONS ..................................................................................................................... 59
3
POLICE CERTIFICATES ................................................................................................................. 60
3.1
Police certificates and police checks ..................................................................................... 60
3.2
Police certificate requirements .............................................................................................. 60
3.3
CrimTrac certificates.............................................................................................................. 60
3.4
Statutory declarations ............................................................................................................ 60
4
STAFF, VOLUNTEERS AND EXECUTIVE DECISION MAKERS .................................................. 61
4.1
Staff, volunteers and executive decision makers .................................................................. 61
4.2
Definition of a staff member .................................................................................................. 61
4.3
Definition of non-staff members ............................................................................................ 61
4.4
Definition of a volunteer ......................................................................................................... 62
4.5
Definition of unsupervised interaction ................................................................................... 62
4.6
Definition of an executive decision maker ............................................................................. 62
4.7
New staff ................................................................................................................................ 62
4.8
Staff, volunteers and executive decision makers who have resided overseas ..................... 63
5
ASSESSING A POLICE CERTIFICATE ......................................................................................... 64
5.1
Police certificate format ......................................................................................................... 64
5.2
Purpose of a police certificate ............................................................................................... 64
5.3
Police certificate disclosure ................................................................................................... 64
5.4
Assessing information obtained from a police certificate for staff and volunteers ................ 64
5.5
Committing an offence during the three year police certificate expiry period ....................... 66
5.6
Refusing or terminating employment on the basis of a criminal record ................................ 67
5.7
Spent convictions .................................................................................................................. 67
6
POLICE CHECK ADMINISTRATION .............................................................................................. 68
6.1
Record keeping responsibilities ............................................................................................. 68
6.2
Sighting and storing police certificates .................................................................................. 68
6.3
Cost of police certificates....................................................................................................... 68
6.4
Obtaining certificates on behalf of staff, volunteers or executive decision makers ............... 68
6.5
Police certificate expiry .......................................................................................................... 69
6.6
Documenting decisions ......................................................................................................... 69
6.7
Monitoring compliance with police check requirements ........................................................ 69
APPENDIX 3a - POLICE SERVICE CONTACT DETAILS .............................................................. 70
APPENDIX 3b- STATUTORY DECLARATION TEMPLATE ........................................................... 71
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6
1
Preface
This Program Manual provides the framework for the implementation and administration of
the Day Therapy Centre (DTC) Program.
This Program Manual has been developed by the Department of Health and Ageing
(Department) for Organisations funded from 2012-13 to 2014-15 to provide therapies
through DTCs.
This Program Manual replaces the following guidelines and manuals:
 ‗Day Therapy Centres Program Guidelines‘, issued in June 1994, revised in March
1998 and December 2009; and

‗Day Therapy Centres Operational Manual‘, issued in March 2011.
This Program Manual is available electronically on the Department‘s website at
http://www.health.gov.au/internet/main/publishing.nsf/Content/ageing-commcaredayther.htm
The Department of Health and Ageing reserves the right to amend this document from time
to time, by whatever means it may determine in its absolute discretion and will provide
reasonable notice of these amendments.
Organisations will be advised as necessary of any updates by email and providers will be
responsible for ensuring that the information contained in the Manual is kept up to date.
Feedback on the manual is welcomed. Please post any feedback via the DTC mailbox at
DTC.Mailbox@health.gov.au
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2
Introduction
2.1
Purpose of this Program Manual
This Program Manual is intended to support Organisations, and their staff, funded under the
DTC Program by providing an explanation of the operational aspects of DTCs. This
document must be read in conjunction with the Funding Agreement.
The new Departmental Funding Agreements consist of:
 The Aged Care Funding Terms and Conditions (Agreement), and
 Program Schedule for Aged Care Funding (Schedule).
Organisations and DTC coordinators should be familiar with those provisions.
The Program Manual forms part of the Funding Agreement between the Australian
Government and the funded Organisation for DTC and sets out the specific requirements
that the funded Organisation is obliged to provide as well as the accountability requirements
to demonstrate effective and efficient use of Australian Government funding.
2.2
Acronyms
Acronyms used in this manual are listed below:
CACP
Community Aged Care Packages
DTC
Day Therapy Centre
EACH
Extended Aged Care at Home
EACHD
Extended Aged Care at Home – Dementia
eFAR
Electronic Financial Accountability Report
FAR
Financial Accountability Report
HACC
Home and Community Care Program
SAR
Service Activity Report
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2.3
Definitions
Note: capitalised terms used in this Program Manual which are not defined in the below
definitions have the same meaning as in the Agreement.
Action Plan
Culturally
and
Linguistically
Diverse
(CALD)
A plan that includes, but is not limited to, the following:

the client‘s goal with regards to their situation;

the therapy options for the client;

a proposed therapy program;

review timelines;

any community resources available to the client;

outcome assessment and measurement;

discharge plan; and

ongoing needs for therapy support.
Cultural and linguistic inclusion recognises the broader community
and reflects Australia‘s various cultural backgrounds and respect for
people with a disability, the aged, sexual persuasion, as well as the
Indigenous population.
For the purposes of the DTC Program, clients may be defined as
CALD where they have particular cultural or linguistic affiliations due
to their:

place of birth or ethnic origin;

main language other than English spoken at home; and/or

proficiency in spoken English.
Day Therapy
Centre
(DTC)
The sites from where an Organisation provides Therapy and
Services as part of the DTC Program. Several DTCs may fall under
one Organisation and one Funding Agreement.
Dementia
A group of diseases that are characterised by the progressive
impairment of brain functions, including language, memory,
perception, personality and cognitive skills.
DTC
Services
The range of tasks for which the DTC is funded to provide under the
Funding Agreement. It includes Therapy and Services along with
other tasks such as marketing, client referrals, assessments etc., as
specified in the Funding Agreement.
Frail Aged
Older individuals with an increased likelihood of functional decline.
Clinical markers may include: slowed gait, flexed posture, unsteady
gait, inactivity and/or loss of interest, slowed cognitive processing
and mild cognitive impairment.
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Funding
Agreement
The Funding Agreement comprises the Terms and Conditions for
Aged Care Funding, the Program Schedule for Aged Care Funding,
including any guidelines specified in Annexure A of the Program
Schedule, and this Program Manual.
Funds
Monies granted, collected or generated as part of the total income
for the DTC Program. It includes funding provided by the
Department, client fees, interest earned and other monies
generated as part of the DTC Program.
Older
People
Older People are defined as people aged 65 years and over and
Aboriginal and Torres Strait Islander people aged 50 years and
over.
Organisation
The legal entity with whom the Commonwealth has entered a
Funding Agreement for provision of DTC Services for eligible
clients. An Organisation may hold legal responsibility for several
DTCs, or it may only hold one DTC.
Special
Needs
People with Special Needs are defined in the Aged Care Act 1997
and Aged Care Principles as:

people from Aboriginal and Torres Strait Islander communities;

people from non-English speaking (CALD) backgrounds;

people who live in rural and remote areas;

people who are financially or socially disadvantaged;

people who are Veterans (of the Australian Defence Force or an
allied defence force), including a spouse, widow or widower of a
veteran;

people who are homeless, or at risk of becoming homeless;
and/or

people who are care leavers.
Standard
Chart of
Accounts
The Standard Chart of Accounts (SCOA) is an agreed list of
account categories for use by all Australian governments in their
dealings with not-for-profit organisations.
Therapy and
Services
The types of therapy and/or services that Organisations provide
under the DTC Program, as listed in Item 3.3 of this Program
Manual.
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3
Day Therapy Centre Program and Policy Overview
3.1
DTC Program - Introduction
DTCs were originally established as a means of funding Therapy and Services in deficit
funded aged care nursing homes. Aged care hostel and community clients were also
eligible, upon appropriate referral, to receive services from these centres. The changes to
nursing home funding in 1988, which included a component of funding for therapy services
to nursing home residents, necessitated a change to these funding arrangements. The
functional separation from nursing homes established the basis of the DTC Program.
3.2
Objective of the DTC Program
The aim of the DTC Program is to provide a wide range of Therapy and Services to Frail
Aged people living in the community and to low-care residents of Commonwealth funded
residential aged care facilities. It assists them to regain or maintain physical and cognitive
abilities which support them to either maintain or recover a level of independence, allowing
them to remain either in the community or in low-care residential aged care.
3.3
Therapy and Services
The main types of Therapy and Services provided by DTCs are:

physiotherapy;

podiatry;

occupational therapy;

diversional therapy;

nursing services;

speech therapy;

social work;

preventative therapies;

personal services;

transport to and from the DTC; and

food services provided in conjunction with therapies.
Other Therapy and Services may be provided with the prior written agreement of the
Commonwealth, through the Department. The Therapy and Services listed are not exclusive
and not all DTCs are expected to cater for all types. There is no single model of service
provision for DTCs and they may operate across a range of therapy types, intensity and
services. The Department may amend this list on occasion.
3.4
Substitution of Therapy and Services
Therapy and Services may be substituted, if appropriate and as determined by the
Department, within the overall grant level. To add or substitute Therapy and Services,
Organisations must apply in writing for approval to the Department and await the
Department‘s written agreement. The Department has the discretion to approve or not
approve any Therapy and Service.
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3.5
Policy Context
Reform of Community Care Services
As part of the National Health Reforms, the Council of Australian Governments (COAG)
agreed that from 1 July 2012, the Australian Government will take full funding and program
responsibility for basic maintenance, support and care services for Older People previously
delivered through the Home and Community Care Program (HACC). This applies to people
aged 65 years and over and Aboriginal and Torres Strait Islander people aged 50 years and
over. This change in responsibility applies in all states and territories, except Victoria and
Western Australia.
From 1 July 2012, the Australian Government is funding and administering the
Commonwealth HACC Program through direct funding arrangements with existing HACC
Organisations who deliver services to Older People. State and territory governments are
continuing to fund and administer basic maintenance, support and care services for people
aged 64 years and less, and Aboriginal and Torres Strait Islander people aged 49 years and
less.
The Australian Government‘s Commonwealth HACC Program is directed towards assisting:

frail Older People with functional limitations as a result of moderate, severe and
profound disabilities; and

the unpaid carers of these frail Older People.
The target population is frail Older People living in the community who, without the basic
maintenance, support and care services provided under the Commonwealth HACC
Program, would be at risk of premature or inappropriate long term residential aged care.
Transferring full responsibility for aged care services to the Commonwealth will combine
services with existing community and residential aged care programs, and create a national
aged care system. This will allow for a better integrated aged care system to be built, with
links to health and hospital services, so that service delivery is coordinated to support Older
People to move through the aged care system.
A New 1800 Number for Aged Care
On 1 July 2011 the Government introduced a new 1800 number (1800 200 422) which is
being answered by Commonwealth Respite and Carelink Centres (Centres). The new 1800
number is designed to create a single point of entry to help people find information about
aged care.
The new national phone number is a first step to create a single point of entry to information
about aged care. However, the existing pathways will remain. Restructuring of the 1800
number will be undertaken over the next two years.
The Organisation should provide clients with the 1800 number when clients enquire about or
request information on aged care services that are not related to the DTC Program.
Aged Care Information Services
The Aged Care Australia website, www.agedcareaustralia.gov.au, includes information
about aged care services for the growing number of people who like to find their information
online.
12
The Organisation should provide clients with the aged care website address,
www.agedcareaustralia.gov.au, when clients enquire about or request information on aged
care services that are not related to the DTC Program.
The Department produces a number of publications that are available to the public at no
charge. Organisations who wish to order bulk copies of these publications can order these
by contacting the 1800 number. An order form for publications is also available at
www.health.gov.au. Please note that the supply of publications will depend on the availability
of stock.
Productivity Commission Report – Caring for Older Australians
The Productivity Commission‘s final report into the aged care sector, Caring for Older
Australians, was released on 8 August 2011. The final report provided analysis of the aged
care sector and detailed proposals for aged care reform.
In undertaking the inquiry, the Commission developed options for further structural reform of
the aged care system so this system can meet the challenges facing it in coming decades.
Further information on the inquiry can be found on the Productivity Commission‘s website at
http://www.pc.gov.au or by contacting the Commission on (02) 6240 3223.
“Living Longer. Living Better.” – the Australian Government‟s Aged Care Reform
Package
On 20 April 2012, the Australian Government announced a comprehensive 10 year package
to reshape aged care. It will build a better, fairer, sustainable and nationally consistent aged
care system to meet the social and economic challenges of the nation‘s ageing population.
The Government recognises the need for fundamental reform of the aged care system in
order to ensure that it continues to provide high quality care and can respond to future
challenges.
Further information on the comprehensive reform package can be found on the ―Living
Longer. Living Better.‖ website at www.agedcareaustralia.gov.au
3.6
Other Program Manuals
Staff should also refer to the appropriate/applicable Program Manuals for information about
additional programs administered by the Organisation, e.g. Home and Community Care,
Community Aged Care Packages and the Residential Care Manual.
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4
Service Delivery
4.1
Overview
Clients should be assessed for their eligibility for DTC Services, along with their level of
need. This section outlines eligibility for support and assistance, target groups and service
delivery types.
4.2
Access to the DTC Program
Clients should have access to the DTC Program in accordance with the relevant Funding
Agreement, this Program Manual, and their needs as assessed following the procedures set
out in section 4.5 ‗Assessment, Review and Discharge‘ of this Program Manual and with
consideration to the amount and type of Therapy and Services the DTC is funded to provide.
The DTCs must also take into account people with Special Needs. In addition, DTCs should
be responsive to the demographics of the community around them and the Therapy and
Services provided, and information about the DTCs, be appropriately reflected in the delivery
of these services.
4.3
Eligibility
Clients eligible to receive DTC Services are:
(a)
Frail Aged low-care residents in Commonwealth funded residential aged care
facilities who require therapeutic intervention to maintain or recover a level of
independence which will allow them to remain in low-care, unless their therapy is
funded as part of another program. In that case, they are not eligible for DTC
Services;
(b)
Frail Aged persons in the community who require therapeutic intervention to maintain
or recover a level of independence which will allow them to remain in their own
homes;
(c)
CACP, EACH, EACHD and HACC Frail Aged recipients may access Therapy and
Services on the same basis as other people living in the community unless their
therapy is a funded part of their CACP, EACH, EACHD and HACC Care Plan. In that
case, they are not eligible for that Therapy and Services; and/or
(d)
Department of Veterans‘ Affairs clients and Frail Aged people on other support
programs, such as the Veteran‘s Home Care program, may also access DTC
Services on the same basis as other people living in the community, providing the
DTC Services do not duplicate those already being provided through the other
program.
People who are receiving other subsidised permanent high-care residential aged care are
not eligible for Therapy and Services provided under the DTC Program. DTCs will need to
seek information from residential facilities as to the classification of the client.
Organisations do have the option of providing services to high-care residential aged care
clients under private arrangements that include both administrative and service delivery
costs. Such services fall outside the DTC Program and these services must not be included
in reporting under the DTC Program.
Any budgets for operational and administration costs must be on a pro-rata basis if used for
other funded or private services. For example, if a centre features a pool for hydrotherapy
14
where 40 per cent of its use relates to DTC hydrotherapy and 60 per cent for other
programs/privately, then any operational and administrative costs provided in the DTC
budget must be 40 per cent of the total operational and administrative costs.
4.4
Referral
Clients may be referred to a DTC through a range of mechanisms. These include:
 general practitioners

Aged Care Assessment Teams

social workers

geriatricians

hospitals

community health workers
Where appropriate, clients should have a written referral. Details of the referral must be filed
with the client's Action Plan. Clients may also self refer or be referred by a carer or family
member.
4.5
Assessment, Review and Discharge
An appropriate DTC staff member must conduct an initial assessment of potential clients to
establish a baseline from which progress or maintenance of function can be evaluated. The
details of such an assessment will depend on the needs of individual clients.
The initial assessment must identify goals and must include the development of an individual
Action Plan for each client. Clients and families or carers (if appropriate) must be consulted
in the development of the Action Plan. Action Plans must include the client's abilities and
needs (functional assessment), the goals of intervention and therapy recommendations to
achieve the goals.
If appropriate, accredited assessment and review tools must be used. DTCs must use
measurable, objective indicators and record results associated with therapeutic goals or
desired outcomes which include the client‘s functional ability:
 on entry;

at review (measured at least every 3 months); and

at discharge.
DTCs must also measure subjective results about the client‘s satisfaction with their progress
and the support offered by the DTC.
DTCs must document review timelines, modifications required and a discharge plan and
include relevant information received from other agencies for each client. Identify continuing
care recommendations, referrals to other community services and follow-up action by the
DTC where appropriate.
An outcome assessment for each client must be completed on review and at discharge to
check the achievements or otherwise of the Action Plan. A copy of the outcome assessment
at discharge must be filed and the original sent to the client or, if appropriate, the person or
organisation responsible for the ongoing care of the client.
If a potential client is assessed as ineligible for Therapy and Services, or if there are no
available places at a particular DTC, the decision-making process should be recorded in
accordance with section 15, ‗Record Keeping‘, of this Program Manual.
15
5
DTC Program Provider Planning, Management and
Administration
5.1
Overview
The DTC Program is funded by the Australian Government. Accordingly, there are a number
of responsibilities that the Organisation must abide by. These responsibilities are specified in
the Funding Agreement, which includes documents that have been incorporated by
reference, including this Program Manual.
5.2
Organisation Policies
Organisations must develop certain internal policies, protocols and procedures in line, where
appropriate, with relevant Commonwealth and state and territory legislation, to support
quality service provision. These include:
 facility emergency procedures such as evacuation;

workplace health and safety;

procedures to address concerns about client welfare or possible client abuse;

police checks and renewals (further information below);

fees and client contributions (further information in section 8);

reportable incidents (further information in section 9);

risk management (further information in section 12);

‗no response‘ guidelines (further information in section 14);

confidentiality and privacy (further information in section 16);

complaints and feedback about services (further information in section 17);

appropriate qualifications or skill sets of staff and staff development programs; and

staffing contingencies for holidays, training days, sickness or other instances of
short staffing.
Organisations may also choose to have protocols on other aspects of service provision, such
as marketing of DTC Services and local stakeholder engagement.
5.3
Consumer rights and responsibilities
The Australian Government is committed to promoting and protecting the civil, human and
legal rights of the consumer. It has developed a Charter of Rights and Responsibilities for a
range of services to ensure that individual consumer rights are accepted and implemented
as an integral part of service provision. Organisations must abide by the Charter of Rights
and Responsibilities for Community Care (Appendix 1).
5.4
Staffing and Training
Organisation‟s responsibility for staffing and training
Organisations are responsible for ensuring staff and volunteers have appropriate skills,
knowledge and attributes, and receive adequate training with an emphasis on quality care.
16
Organisations are also responsible for ensuring staff members are trustworthy, have integrity
and will respect the privacy and dignity of clients.
Qualifications of staff
There are a range of service types delivered under the DTC Program, and the Department
recognises that qualifications and skills required vary across services and jurisdictions.
Organisations must be aware of any registration, accreditation or licensing requirements for
the professions from which they draw their workforce and must ensure their personnel (and
any Subcontractors) comply with these requirements.
All Organisations should be encouraging staff to undertake vocational and other formal
education and training to enhance the skill base of the DTC workforce.
Medication administration
State and territory legislation governs medication management. Organisations must take into
account all relevant legislation and guidelines in developing policies and procedures around
medication administration. They must also ensure that staff have appropriate levels of skill
and knowledge in relation to assistance with medication and duty of care.
Volunteers
Organisations may utilise volunteers in the operation of their service. If volunteers are used,
Organisations must ensure that volunteers have the necessary knowledge and skills to
undertake their duties.
Organisations who utilise volunteers should have policies and procedures in place regarding
management of their volunteer workforce.
Volunteer management policies and procedures should include any policy relating to
volunteer reimbursement. The reimbursement of volunteer expenses will depend on the
financial and human resources available to the Organisation. Policies should reflect the
circumstances of the Organisation, such as remoteness, isolation, and other regional
differences that can impact on their capacity to attract and retain volunteers.
5.5
Contractors
Where Organisations engage a subcontractor to deliver a service, this is defined in the Aged
Care Funding Agreement as a Primary Subcontractor. Where a Primary Subcontractor
subcontracts the delivery of DTC Services to another organisation, this is defined as a
Secondary Subcontractor. Where a Secondary Subcontractor subcontracts the delivery of
DTC services, this organisation is also referred to as a Secondary Subcontractor.
All Primary Subcontractors and Secondary Subcontractors are required to be legal entities.
The following are examples of legal entities:

a company

an incorporated association

a body incorporated under other legislation

an individual.
17
Primary Subcontractors
If an Organisation plans to utilise any Primary Subcontractors, they must notify the
Department of the Subcontractor within 20 Business Days of entering into an agreement with
that Subcontractor. The notification must include the Subcontractor‘s name and ABN, the
tasks which the Subcontractor will complete under the Aged Care Funding Agreement and
Program Schedule, the period of the subcontract and any other information requested by the
Department.
Secondary Subcontractors
In accordance with the Program Schedule, the Department consents to any secondary
subcontracting arrangements which the Organisation or any Primary Subcontractor had
entered into prior to 1 July 2012.
From 1 July 2012, if an Organisation plans to utilise any Secondary Subcontractors, or its
subcontractors plan to utilise any Secondary Subcontractors, the Organisation must request
the Department‘s prior written consent of the subcontractor before an agreement is
entered into with that Subcontractor. The request must include the Subcontractor‘s name
and ABN, the tasks which the Subcontractor will complete under the Aged Care Funding
Agreement, the period of the subcontract and any other information requested by the
Department.
5.6
Work Health and Safety (Previously Occupational Health and
Safety)
Legislation previously referred to as Occupational Health and Safety (OH&S) has been
replaced by Work Health and Safety (WHS) following the passing of the Work Health and
Safety Act 2011 in six of the nine jurisdictions. The Australian Government, Northern
Territory, Queensland, New South Wales and the Australian Capital Territory have
implemented the new legislation. Tasmania has passed the legislation, but has requested a
delay in implementation until 1 January 2013. South Australia remains involved in the
harmonising process and are continuing to debate the legislation. It is intended that the term
OH&S will be incrementally replaced with WHS in all Australian Government, state and
territory documents.
Providing a safe and healthy workplace
Organisations must provide a safe and healthy workplace for their employees and volunteers
in accordance with relevant Commonwealth, and state or territory government WHS
legislation, as well as WHS codes and standards.
In some cases, the workplace will be the client‘s home. Organisations are also responsible
for addressing the safety of employees and volunteers delivering services to a client or carer
in their home.
Organisations should also consider and assess WHS, Australian Building Standards and
other local requirements, as these relate to their own offices and facilities, vehicles, and
other physical resources used by their staff and volunteers.
Making others aware of their responsibilities
Employees are also responsible for ensuring their own safety, and the safety and health of
others, including clients. Organisations must ensure that their employees and volunteers:

have adequate WHS training;
18

are aware of their WHS responsibilities;

comply with WHS requirements and instructions associated with the work being
performed;

use the appropriate equipment; and

identify and report hazards, risks, accidents and incidents.
Obligations to document WHS policies and procedures
Organisations must have in place appropriate policies and procedures to reflect WHS
legislative requirements. Policies and procedures could relate to, for example:

management of communicable diseases

minimising the risk of infection

safe lifting and transfer procedures

asbestos

fire safety

first aid
5.7
Requirement for a Police Check
A national criminal history record check (commonly known as a police check) is a process
undertaken by the relevant state/territory police or the Australian Federal Police (for the
Australian Capital Territory), which reveals whether an individual has been charged with
and/or convicted of a criminal offence which has not been removed from their record under a
‗spent conviction‘ scheme. Police jurisdictions then provide a police certificate detailing any
criminal offences, with the exception of any spent convictions.
Please refer to Appendix 3 – ‗Commonwealth HACC Program Police Certification
Guidelines‘. Note that the Commonwealth HACC Program Police Certificate Guidelines will
also apply to the National Respite for Carers Program (NRCP), Assistance with Care and
Housing for the Aged (ACHA) Program, Day Therapy Centres (DTC) Program,
Commonwealth Respite and Carelink Centres (CRCC) Program, the National Carer
Counselling Program (NCCP) and the Carer Information and Support Service (CISS)
Program.
5.8
Relocation of Services
Services may only relocate their premises with the prior written approval of the Department.
Organisations must advise the Department of any proposed change to the location of a DTC
at least 30 Business Days prior to the relocation.
Requests for approval to relocate must be in writing and include reasons for the relocation
and any impact this may have on clients and the provision of services. The Department will
respond in writing regarding the approval. Relocations will generally only be approved if the
services to clients are improved or unaffected.
When planning to relocate, DTC providers should consider proximity to:
 other medical services (i.e. GP clinics);

other community services; and

public transport and parking.
19
Co-location with other services may assist the relocation being approved.
The building from which the DTC Services are provided should meet the accessibility
standards for people with physical disabilities. The Disability (Access to Premises –
buildings) Standards 2010 (Premises Standards) commenced operation on 1 May 2011 and
include an Access Code for buildings. More information is available at
http://www.ag.gov.au/PremisesStandards
5.9
Changing the Name of a Service
DTCs may only be renamed with prior written approval from the Department. Organisations
must advise the Department of any proposed change to the DTC name at least 30 business
days prior to the change. The Department will respond in writing regarding approval.
20
6
Material and Information
6.1
Overview
Organisations are expected to market their services to ensure that Frail Aged people are
aware of the services available to them.
Any advertising or resource materials developed by the Organisation with regards to a DTC
for local use must be approved in writing, by the Department. The Organisation must forward
copies to the Department and allow at least two weeks for material to be considered.
6.2
Acknowledgement of the Australian Government
Promotional material produced by the Organisation must clearly identify that services are
funded by the Australian Government by including the words ―Australian Government
funded‖. Alternatives such as ―Authorised by the Australian Government‖ must not be used.
Unless approved by the Department in writing, neither the Australian Coat of Arms (COA or
Crest) nor Departmental branding are to be used in promotional material developed by
Organisations.
21
7
DTC Funding
7.1
Overview
The Commonwealth provides funding solely for the delivery of DTC Services according to
the Funding Agreement between each funded Organisation and the Department.
7.2
Operational Funding
Operational funding is ongoing funding that Organisations receive annually for the term of
their Funding Agreement to fund their day-to-day operations. Funding is awarded on a
competitive basis through a funding round where Organisations are invited to apply for
funding. Applications are assessed by the Department according to advertised criteria and
recommendations for successful providers are made to the Minister with portfolio
responsibility for Ageing for her/his approval.
DTC funding allocations take into account equity in distribution of services and the capacity
of Organisations to deliver quality services. Consideration includes the demand for DTC
Services in a region, existing services in the region, and regions where no services exist.
Once awarded funding, Organisations must provide the Therapy and Services outlined in the
Funding Agreement. The Organisation cannot make changes to the items specified in the
Funding Agreement unless formal written approval has first been granted by the
Department.
When new funding becomes available, an announcement will be made on the Department‘s
website at
http://www.health.gov.au/internet/main/publishing.nsf/Content/Listing+of+Tenders+and+Gra
nts-1
Organisations delivering services under the DTC Program are required to submit annual
Financial Accountability Reports (FARs) and Service Activity Reports (SARs) to the
Department to demonstrate that Funds are being used in line with the purposes of the
program and to show achievement against the desired outcomes.
7.3
One-off Funding
From time to time, the Department may offer one-off funding under the DTC Program if there
are sufficient unspent DTC funds that are returned to the program through the annual
financial accountability reporting process. Existing Organisations may then have the
opportunity to submit proposals for one-off funds in a competitive process.
One-off funding, unlike operational funding, is a one-off grant provided to existing
Organisations for activities that meet the following criteria:

the funding being sought is for a one-off project;

the one-off project is consistent with the aims of the DTC Program, as reflected in
the Program Manual;

the project is likely to improve service quality or Organisation performance or
otherwise benefit DTC clients; and

the one-off project can be justified as a reasonable use of grant funding.
22
Projects might include activities such as workplace health and safety improvements,
information technology upgrades, the purchase or replacement of therapy or other
appropriate equipment, or minor building modifications to improve client safety (such as the
installation of a wheelchair ramp).
There are some key differences between one-off and operational funding processes:
 applications for one-off funding are only open to existing DTC Organisations;

the application process, guidelines etc. are not advertised nationally, although the
process is still a competitive one. Instead, the Department provides existing DTC
Organisations with an application pack and invitation to apply;

assessments include Organisation performance including the outcome of any
previous one-off funding projects;

financial viability assessments will not usually be required; and

approval of recommended applications is usually by the Department‘s financial
delegate.
Successful Organisations are required to execute new Funding Agreements and acquit the
one-off funds separately. Funds need to be expended within the financial year of the new
agreement or formally committed by 30 June of that year.
7.4
Managing Funds
Funds paid to Organisations by the Department must be used only for the purpose of
providing DTC Services specified in Funding Agreements.
If the Organisation receives any Other Contribution for the DTC Program or allocates any
Other Contribution to the DTC Program, the Organisation is required to notify the
Commonwealth. This notification is required to occur in the next Financial Accountability
Report the Organisation submits following the receipt or allocation of the Other Contribution.
If an Organisation intends to close a DTC service, the Department must be advised in writing
immediately. The Department will liaise with the Organisation to help ensure a smooth
transition out, in accordance with the Transition-Out Plan under the Funding Agreement, and
continuity of care to clients. In addition, any Unspent Funds will need to be repaid to the
Commonwealth. Please refer to section 13 ‗Activity Continuity‘ of this Program Manual for
further information on Transition-Out Planning.
7.5
Establishment/Set Up Funds
Any Funds provided for establishing a new DTC service must be spent specifically on that
DTC and other agreed activities covered in the Funding Agreement. Assets purchased with
establishment Funds should be covered by appropriate insurance and included in the Assets
Register. If Funds allocated for establishment items are not spent during the initial three
months, this must be identified on the next recurrent acquittal statement as Committed
Funds.
23
7.6
Payment of Funding
The Department will pay Funding in accordance with the payment provisions set out in the
Funding Agreement.
The Commonwealth will issue Recipient Created Tax Invoices (RCTIs) in respect of the
services provided by the Organisation for the Commonwealth insofar as those supplies are
Taxable Supplies.
If the Department has overpaid or underpaid an instalment, the Department must be notified
immediately in writing. The Department will undertake steps to rectify the over or under
payment.
It is the responsibility of the Organisation to pay appropriate staff and/or Subcontractors that
are involved in providing all or any of the services from the ongoing Funds.
Where an acquittal of funds reveals Unspent Funds for the previous financial year, the
Department may arrange for future ongoing payments to be reduced to offset the Unspent
Funds. Where time does not permit this approach, the Organisation will be required to repay
the Unspent Funds by cheque.
Any enquiries regarding payments should be directed to the Departmental state or territory
Program Manager.
7.7
Unspent Funds and Carry-overs
Unspent Funds are DTC grant Funds, paid to the Organisation to deliver DTC Services for a
particular financial year, and include any client fees which remain unexpended at 30 June of
that financial year. Organisations will be notified of any Unspent Funds as part of the annual
acquittal process.
There will not be automatic carry-over of Unspent Funds into the next year. Unspent Funds
will be recovered by reducing the next available grant payment through a funding variation,
following the audited financial acquittal. If no further grant payments are due, the Department
will raise an invoice to recover Unspent Funds.
However, in certain limited circumstances, an Organisation may be able to request a carryover of Funds:

for operational funding – where the Organisation can demonstrate that they
received goods/services in the relevant financial year, but did not pay until the
following year; or

for one-off funding – where the Organisation can demonstrate that the funds were
committed at the end of the financial year.
Where one-off projects have not commenced by the end of the financial year nor have any
formal commitments to proceed been given then no carry-overs will be considered.
A request to carry-over Unspent committed Funds must be in writing detailing the
Organisation‘s intentions with regards to the Funds. It must be submitted by 30 September
with the annual FAR. This allows sufficient time for consideration by the Department and for
the Organisation to have adequate time to undertake the project before the end of the
financial year. Only in exceptional circumstances will a carry-over request be considered
after 30 September.
24
7.8
Variations and Indexation
At any time either party may suggest a variation to the Therapy and Services outlined in the
Funding Agreement. The Department is not liable for any additional work undertaken, or
expenditure incurred, unless the variation has been agreed to in writing by the Department.
Any changes to the Therapy and Services, or amount of Therapy and Services provided,
involve an amendment to the Funding Agreement itself unless part of the flexibility
provisions.
The Department will provide written notification to the Organisation of variations due to
annual indexation. Such variations will be paid to the account nominated in the
Organisation‘s Funding Agreement. Payments for indexation variations will be paid
according to Departmental guidelines and policies and payment is at the discretion of the
Department.
7.9
Flexibility of Therapy and Services
To assist Organisations in managing client and business needs, DTCs have the flexibility to
vary some of their Therapy and Services without the need to amend the Program Schedule.
Such a variance will be within the DTC‘s allotted Funding. No extra Funding will be granted.
Organisations must seek and obtain the Department‘s written approval prior to amending
any Therapy and Service.
DTCs may vary up to 10 per cent of their Therapy and Service hours per annum. This allows
DTCs to increase the hours of a particular therapy to meet client demands for that therapy
and correspondingly varying the hours of less-in-demand therapies.
A number of conditions apply to flexibility:
 the Department must provide written approval prior to any variation;

Therapy and Services delivered under the flexible provisions must meet the
targeted needs of DTC clients;

variation must not exceed 10 per cent of the total number of Therapy and Services
hours provided by the particular DTC. For example, if a DTC receives Funding for
five Therapy and Services types at 100 hours per Service Type, this equals 500
total hours. The flexibility clause is then applied to the 500 hours, resulting in
flexibility of service provision for up to 50 hours. Therefore, there cannot be an
increase or a corresponding decrease in a Therapy and Service of more than 50
hours annually; and

services which can be provided under the flexible provisions are restricted to those
types included in item 3.3 of this Program Manual, ‗Therapy and Services‘.
Organisations can request variations to the Therapy and Services that fall outside the
flexibility provisions. The Organisation must seek and obtain the Department‘s written
approval prior to amending any Therapy and Service. If approved, a Deed of Variation to the
Funding Agreement will be required for the changes.
7.10
Managing Funding from Department and Other Agencies
Organisations are required to separately manage the Funding provided by the Department
and by other government agencies, i.e. federal, state or territory government agencies. In
accordance with clause 13.1 of the Funding Agreement, the bank account into which the
DTC funding is being paid does not need to be used exclusively for DTC-related funding.
25
However, Organisations must be able to track Funding relating to each of the activities
defined in the Program Schedule.
7.11
Assets
Assets are defined in clause 54 of the Aged Care Funding Agreement. Assets purchased,
disposed of, sold or written off, must be included in the relevant audited statements
forwarded to the Department.
Assets acquired prior to 1 July 2012
Where Organisations possess Assets on 1 July 2012 that were acquired with Funding
provided under the former DTC Agreements, and had a value of $10,000 or more (including
GST) at the time of acquisition, these Assets are specified as a class of Assets in the
Program Schedule.
Organisations must continue to use this class of Assets in delivering DTC Services and to
include these Assets in their Assets Register.
Acquiring Assets from 1 July 2012
Where an Organisation wishes to use Funding to acquire an item with a value of $10,000 or
more (including GST), they must seek the Department‘s prior written approval.
Organisations should note that the Department will not approve the use of Funding for
purchasing of Assets if an Organisation has already received funding for the same purpose
under any other program. These requirements are set out in Item H of the Program
Schedule.
If the Department provides approval, the Organisation must use that Asset for delivering
DTC Services. In addition, the Organisation must maintain the Asset, record the details of
that Asset in their Assets Register and not dispose of or replace that Asset without further
written approval from the Department, as set out in clause 31 of the Aged Care Funding
Agreement.
From 1 July 2012, when using DTC Funding to acquire and dispose of Assets, Organisations
are expected to do so in a way that encourages open and fair competition, value for money,
and fair dealing. When acquiring and disposing of Assets with DTC Funding, Organisations
should also note the requirements of clause 34 of the Aged Care Funding Agreement, which
relate to conflict of interest obligations.
In addition, should an Organisation wish to use Funding to purchase or lease an item with a
value of $22,000 or more (including GST), they must obtain:

written quotes; or

tenders in response to public invitation
from at least three1 suitable suppliers.
1
Where an Organisation reasonably determines that it is not possible or practicable to obtain tenders
or quotes from three or more suitable suppliers, they must notify the Department within 10 Business
Days after making that determination. The specific requirements for notices are set out in clause 50
of the Aged Care Funding Agreement.
26
Assets purchased with alternative funding sources outside the DTC Funding may be
purchased and used for the delivery of DTC Services at the Organisation‘s discretion.
Where these Assets are individual items with a value of $10,000 or more (including GST),
they should also be recorded in the relevant section of the Assets Register.
Disposal of Assets
Disposal of Assets acquired with grant Funds during the term of the Funding Agreement and
use of any proceeds from such disposal requires prior approval in writing from the
Department. Should the service outlet close down during the Activity Period, any Assets
required with Program Funding must be dealt with as notified by the Department. The
Department may ask to see the closing service outlet‘s Assets Register. The service outlet‘s
Transition-Out Plan should indicate those Assets to be transferred to a new outlet to ensure
continuity of care and those Assets which would otherwise revert to the Commonwealth.
Depreciation of Assets
Depreciation of Assets which have been purchased with Commonwealth funding is allowed,
provided that these Assets have been listed on the Assets Register. They may be included
as an expense in the Financial Accountability Reports (FARs) submitted to the Department.
Further information to support Organisations in submitting their FARs can be found in the
eFAR User Guide at http://www.health.gov.au/internet/main/publishing.nsf/Content/ageingfin-account-report.htm
7.12
Vehicles
The Department will consider any request for funding for the purchase of a motor vehicle on
its merit. Where leasing is available, it is the preferred option.
When determining whether to approve the lease or purchase of a vehicle, the Department
considers value for money, and the best option in the context of the DTC‘s budget and the
expenditure of Commonwealth funding.
27
8
Fees and Contributions
8.1
Organisation‟s Policy
Organisations must have a policy about charging fees for provision of services Funded
under the Agreement, and assessment of clients‘ capacity to pay for or contribute to the cost
of services.
Organisations should be able to obtain information from clients required to assess their
capacity to pay. The information obtained must not be shared for any other purpose (further
information in section 16). The assessment of the capacity to pay must be undertaken in
respect of the person who benefits from the service provided (i.e. the client).
8.2
Charging Fees
Consistent with the Australian Government‘s support for ‗user pay‘ policies and
arrangements, all clients using Australian Government funded Therapy and Services are
encouraged to contribute to the cost when they can afford to. While no person should be
refused services due to an inability to contribute to the cost of those services, it is important
that those clients who can afford to pay all or some of the costs are required to do so. The
collection of fees, even minimal amounts, means that Therapy and Services can be provided
to more clients.
The Commonwealth, state and territory governments agreed in August 2008 that the
purpose of a Fees Common Arrangement is:
To maximise the effectiveness of government funding for community care by
targeting higher levels of government support for those who are least able to
contribute to the cost of their care, and ensure that community care services remain
affordable for all those who need them.
All fees must be applied to the individual Therapy and Service received by a DTC client. Any
fee set or charged should not exceed the actual cost of the Therapy and Service provision.
DTCs should use simple fee schedules. The Department suggests that each DTC sets a flat
fee of, for example, $7 per session. However, this fee may vary across individual DTCs and
with different DTC Therapy and Services provided by each individual DTC.
Should DTCs wish to have a sliding scale for fees, the Department recommends that fees
charged should not be in excess of $7 per individual session. Clients who use multiple
services, or who attend the DTC on more than one day per week, should have their total
fees capped at around $20 per week. This limit applies only to fees charged for approved
Therapy and Services.
When developing a policy on fees, Organisations must consider the following issues:

relevant parts of the Charter of Rights and Responsibilities for Community Care,
which also applies to clients (Appendix 1);

the determination of how much the client is asked to pay, based on their financial
situation and income. Organisations will need to identify whether the client is on a
pension, is self-funded or in paid employment;

a client fee for the cost of Therapy and Services must be negotiated before the
service is provided;
28

any fees policy must have regard to any exceptional and unavoidable expenses of
the client e.g. permanently high or currently high and unusual medical and
pharmaceutical expenses;

the agreed client fee should be shown on the Action Plan;

if the client‘s financial situation changes during the period of therapy assistance, the
client should be asked to contact the Organisation to arrange a review of their client
fee;

a client fee can be empowering for clients in certain circumstances, as it builds on a
sense of independence and self-reliance;

client fees from those who can afford to pay means that more services are
available; and

each situation is different; the fees policy needs to be as fair as possible for all.
If a client refuses to pay a fee after receiving the Therapy and Service, the DTC is
responsible for following up the payment.
The responsibility for arrangements and any deposits rests with the Organisation or the DTC
itself.
8.3
Use of collected Fees
Organisations are required to use any fees which are collected from an individual DTC client
for a particular Therapy and Service (or in relation to a package of Therapy and Services)
immediately and directly, to contribute to the cost of providing the individual Therapy and
Service (or the package of Therapy and Services). Fees are not to be retained or
accumulated. Organisations are required to provide the Department with any information
which the Department requests in order to demonstrate how the Organisation has met this
requirement.
Additional costs to the client for support services such as meals, transport and orthotics, are
not considered to be ‗fees‘ and should not be included in calculating the upper limit for
individual clients.
Organisations will be required to report fees received in their Annual Financial Accountability
Report. Fees and contributions will be taken into account in determining the level of
Australian Government funds.
8.4
Other Contributions
As outlined in Item 7.4, ‗Managing Funds‘, if the Organisation receives any Other
Contribution for the DTC Program or allocates any Other Contribution to the DTC Program,
the Organisation is required to notify the Commonwealth. This notification is required to
occur in the next Financial Accountability Report the Organisation submits following the
receipt or allocation of the Other Contribution.
29
9
Notification of Incidents and Issues
If an Organisation is associated with an event that has, or may have, affected the health,
safety and/or wellbeing of care recipients while under the care of staff, volunteers or
contractors, the event must be reported to the Department. Organisations must report such
events to their local state or territory office.
This requirement is set out in clauses 35 and 54 of the Aged Care Funding Agreement. In
addition, the specific requirements for notices made under the Aged Care Funding
Agreement are set out in clause 50.
There are two tiers of incidents which must be reported. First tier reportable incidents
include, but are not limited to, a Serious Incident that causes:

the unexpected death of any person;

a serious injury to any person;

an allegation of Significant Misconduct made by any person in relation to the
Organisation or its personnel; or

a fire, natural disaster, accident or other incident that will or is likely to:
o
prevent the delivery of all or part of an Activity;
o
result in the closure of premises, or significant damage to premises or property;
or pose a significant threat to the health and safety of any person; and/or
o
cause harm or suspected harm to a client.
For first tier incidents, Organisations must immediately inform the Department in writing
(email is acceptable) of the incident occurring or the Organisation becoming aware of the
incident.
For second tier incidents Organisations must make this notice in writing (email is acceptable)
to the Department within 72 hours of the incident occurring or within 72 hours of becoming
aware of the incident.
Notification of incidents under the second tier provides an opportunity for the Department to
be aware of and monitor the Organisation‘s management of the incident.
Examples of second tier reportable events or other incidents include, but are not limited to:

criminal activity on the part of Organisation staff such as theft;

minor accidents, including vehicle accidents where the Organisation is transporting
the care recipient; or

incidents that may bring negative media attention to the Organisation and/or the
Australian Government as the funding body.
Organisations must have policies about how to respond if there is, or they suspect there is,
assault, abuse or concern about a risk of harm to a client.
Key considerations include:

appropriate assessment, particularly where there is the suspicion or risk of abuse or
harm; this may include discussions with the client in order to understand the
situation so that appropriate assistance can be arranged;

prompt provision of emergency DTC Services and linkage with other support
services such as counselling, health services and social support; and
30

contact information for emergency staff such as police, ambulance, crisis mental
health team, or other relevant services.
31
10
Local Stakeholder Engagement
Organisations should network with local stakeholders including other organisations, interest
groups and relevant people in state and territory and local government agencies.
As a minimum, Organisations should:

consult with relevant stakeholders in the development of their annual and longer
term business and strategic plans so that these plans reflect local needs and
circumstances;

have appropriate mechanisms to ensure ongoing links with information partners to
share information; and

ensure the complaints process is publicised.
32
11
Service Development
Organisations are well positioned to understand both the needs of clients and the demands
on them as Organisations. For instance, knowledge gained about gaps in services should be
used to contribute to the development of improvements in the service.
Organisations are expected to develop DTCs to deliver responsive and effective services
that meet the identified needs of the region. This may be through:

involvement in regional or local planning processes to contribute information about
needs for DTC Services;

provision of advice to new and developing DTCs on issues such as service design,
operational protocols, staff recruitment and governance;

participation in reviews or evaluation of programs and services to provide feedback
and expert advice;

offers to provide training and professional development for other Organisations;

ongoing advice about service management issues to other DTCs; and

communication to other Organisations any feedback and complaints that the DTC
receives from clients. Conveying constructive feedback to Organisations can
contribute to service improvement and responsiveness.
33
12
Dealing with Risk
12.1
Overview
Organisations of all types and sizes face internal and external factors and influences that
make it uncertain whether and when they will achieve their objectives. ―Risk‖ is how exposed
a person/organisation is to the chance of injury, litigation and/or loss e.g. failure to achieve
objectives.
All Organisations must have a risk management plan, which they must present to the
Department upon request. It is important in such a plan that risks are identified, analysed
and evaluated to determine whether the risk should be modified by treatments and controls.
Throughout this process, communication and consultation with stakeholders needs to be
taken into account and ongoing monitoring and review must occur in order to ensure that no
further risk treatment is required. Risk management can be applied to an entire
Organisation, at its many areas and levels, at any time, as well as to specific functions,
projects and activities, such as to each individual DTC.
The management of risk enables an Organisation to, for example:

increase the likelihood of achieving objectives;

encourage proactive management;

be aware of the need to identify and treat risk throughout the service;

improve the identification of opportunities and threats;

comply with relevant legal and regulatory requirements and international norms;

improve financial reporting;

improve governance;

improve stakeholder confidence and trust;

establish a reliable basis for decision making and planning;

improve controls;

effectively allocate and use resources for risk treatment;

improve operational effectiveness and efficiency;

enhance health and safety performance, as well as environmental protection;

improve loss prevention and incident management;

minimise loss;

improve organisational learning; and

improve organisational resilience.
Risk management comprises the activities and actions taken to ensure that a service is
conscious of the potential risks it faces, makes informed decisions in managing these risks,
and identifies and harnesses potential opportunities.
Some risks are managed by appropriate insurances and indemnities while management of
other risks, such as to the effectiveness of a government program, can be built into program
design, Funding Agreements and various monitoring and governance mechanisms.
34
Organisations should refer to the Comcover Better Practice Guide to Risk Management to
develop their own templates to store their own risk management information. It is available at
www.finance.gov.au/Comcover/docs/Better_Practice_Guide.pdf
12.2
Insurance
The type and level of insurance is specified in the Funding Agreement. The Funding
Agreement specifies that an Organisation must take out all insurances that are necessary to
ensure that the Organisation‘s obligations under the Funding Agreement can be covered,
including any obligations that may extend beyond the term of the Funding Agreement. Types
of insurance include:

Public Liability

Worker‘s Compensation Insurance

Professional Indemnity

Building Insurance

Third Party Insurance (if vehicle is considered an asset)
Any insurance is required to be maintained for the Agreement Period as outlined in the
Funding Agreement. If the policy is a claims made policy, the policy is required to be
maintained from the Schedule Commencement Date to seven years after the Schedule
Completion Date.
The minimum level of Public Liability required by the Department is $10 million.
Professional Indemnity insurance is required by the Department and must be an
amount which is consistent with the outcomes of a risk assessment. The Organisation
is required to perform a risk assessment for the purpose of identifying an appropriate
amount of insurance.
Insurance for building and contents and worker‘s compensation, are as required by the
relevant state or territory legislation.
Appropriate cover, such as a form of volunteer accident insurance, is also advisable for
volunteers if they provide services to, or in relation to, the Organisation.
The amounts of insurance coverage required can be varied in exceptional circumstances.
Organisations must make a formal approach to the Department‘s state and territory offices
as required.
The Commonwealth cannot provide advice on the type and level of insurance that
Organisations should have, and Organisations should refer to their own insurance broker for
advice on this.
Organisations must, on request, promptly provide to the Department any relevant insurance
policies or certificates of currency for inspection. If relevant, copies of insurances that cover
Assets funded under the Program may also be requested.
35
13
Activity Continuity
Continuity of service provision is a critical risk that the Commonwealth has to manage.
Therefore, Organisations are required to develop and submit to the Department for approval,
a Transition-Out Plan for each DTC by 31 December 2012, as a risk treatment.
The aim of the Transition-Out Plan is to ensure that the obligations of both parties to the
Funding Agreement, upon termination or expiry of the Agreement, are acknowledged and
agreed, and that, where applicable, there will be minimal disruption of service delivery to
clients. The Transition-Out Plan should address issues that enable the orderly transition of
the services from the Organisation to the Commonwealth or its nominated alternate
Organisation on expiry or termination of the Funding Agreement.
The Department can request an updated copy of the Transition-Out Plan at any time.
Guidelines for the Transition-Out Plan can be found at Appendix 2 of this Program Manual.
36
14
Accountability and Reporting
14.1
Overview
The public funding which is provided to Organisations is to be used to achieve specified
outcomes. Accountability arrangements are directly linked to the objectives of the DTC
Program.
The DTC Program represents a substantial investment of public funds. To ensure that these
funds are used appropriately, effectively and efficiently, Organisations are required to
operate within an accountability framework that comprises this Program Manual and
individual Funding Agreements.
The accountability framework accommodates a number of factors, including ensuring that:

quality Therapy and Services are delivered;

Program standards and expectations are met;

service provision meets the identified needs of service recipients; and

Funds are used according to the purposes specified in the Funding Agreements.
The key accountability requirements for Organisations are:
Report
Due to the Department
progressive and annual Financial
Accountability Reports (FARs)
due at the end of January and
September each year or as per the
Funding Agreement
progressive and annual Service
Activity Reports (SARs)
due at the end of January and July
each year or as per the Funding
Agreement
participation in Quality Reporting Visits
Schedule
once every three years per DTC as
required by the Department
Both the FAR and the SAR are assessed by the Department to ensure that grant recipients
are complying with their contractual obligations, and to ensure that project Funds have been
used as intended and can be accounted for.
14.2
Financial Accountability Reports and the Acquittal Process
In the context of the standard funding process, the term ‗acquittal‘ refers to the process of
assessing and reconciling both the financial and performance/progress reports submitted by
the Organisation. This is done with a view to ensuring that the Organisation has satisfied
their obligations as specified in the Funding Agreement.
Acquittal of a Funding Agreement is complete when the Department's responsible officer is
satisfied that the evidence exists that:
 Funds have been used for the purpose intended in the Funding Agreement; and

the Funds can be accounted for.
37
Annual information in the FAR should relate to a standard financial year (1 July – 30
June) and Organisations that are required to submit six monthly data should refer to the
period from 1 July to 31 December (in the appropriate financial year) as a basis. The
Organisation must have its accounts and records audited by a qualified auditor at the end
of each financial year in accordance with the electronic Financial Accountability Report
(eFAR) process.
The DTC Program will now use the eFAR system as used for other community care
programs, such as the National Respite for Carers Program.
As part of the new Funding Agreement, Organisations must submit their progressive and
annual FARs electronically using the eFAR process. Organisations will need to register with
the Department to receive a logon.
Further information to support Organisations in submitting their FARs can be found in the
eFAR User Guide at http://www.health.gov.au/internet/main/publishing.nsf/Content/ageingfin-account-report.htm
Structure of the FAR
The FAR is comprised of up to five parts. More detailed information on these parts can be
found in the eFAR User Guide. Note that not all types of FARs require all parts to be
completed. The table below outlines the requirements for each FAR type.
Report Type
FAR component
Annual
Progressive
Adhoc
Final
1. Organisational Details
Yes
Yes
Yes
Yes
2. Statement of Income &
Expenditure
Yes
Yes
Yes
Yes
3. Carry-overs of Underspends &
One-Off Grants
Yes
One-off
grants
only
One-off
grants
only
One-off
grants
only
4a. Segment Note in Audited
General Purpose Financial
Statements
OR
4b. Extraction of FMS with audit
opinion
Yes
No
No
Yes
5. Statement of Compliance
Yes
Yes
Yes
Yes
FAR Submission Requirements
Organisations are required to have their accounts prepared in accordance with Australian
Accounting Standards Board (AASB) standards. Organisations are also required to have
their accounts audited by an Approved Auditor as at 30 June of the applicable financial year,
in accordance with the eFAR User Guide.
A responsible officer from each Organisation is required to sign the Statement of
Compliance in Part 5 of the FAR. A responsible officer can be a person occupying the
38
position of Chief Executive Officer or Chief Financial Officer of the Organisation, or a person
authorised to execute documents on behalf of the Organisation and legally bind it.
FARs are to be submitted through the Aged Care Provider Portal. More information on the
process for this will be available on the Aged Care Provider Portal located at
ebiz.agedcare.gov.au
An annual FAR will need to be completed for each Funding Agreement. A progressive FAR
will need to be completed for each Funding Agreement, unless it is not required under the
Proportional Reporting provisions outlined in Item 14.4.
14.3
Service Activity Reports
Two SARs are generally required each financial year. An annual SAR will need to be
completed for each DTC even if there are multiple DTCs under a single Funding Agreement.
A progressive FAR will need to be completed for each DTC, unless it is not required under
the Proportional Reporting provisions outlined in Item 14.5.
The progressive SAR reports on activities for the months 1 July to 31 December, and is due
to the Department by 31 January or as identified in the Funding Agreement. The Annual
SAR will report on the financial year from 1 July to 30 June and is due to the Department by
31 July.
SARs provide information from each individual DTC on services delivered, clients, hours of
therapies delivered, qualitative data providing evidence of goal attainment, and reasons for
variations between services delivered and service outputs specified in the Funding
Agreement. SARs also request information on unmet needs, complaints, and changes in
office holders or the executive of an Organisation.
Organisations are required to provide quality reports for each DTC that include:
 an outline of the DTC‘s use of assessment tools to help develop Action Plans to
meet a client‘s needs and to set goals; and

an analysis of changes over time measured, from their use of the tools, including
outcomes achieved.
Progressive and annual SARs are to be completed manually and lodged electronically (by
email as scans) and in hardcopy. In the future an electronic Service Activity Report may be
implemented.
Please note that reports are required on those clients who are eligible for DTC Services
through the DTC Program only. Please refer to section 4.3 of this Program Manual,
‗Eligibility‘, for further information.
14.4
Service Activity Data Collection
As part of the Service Activity Reports there several major items of data that are collected for
reporting and evaluation purposes. The reporting period for data collection is the financial
year from 1 July to 30 June. No data is carried across reporting periods.
Total annual client numbers
‗Total annual client numbers‘ is the number of clients who utilised the individual DTC over
the reporting period. For this category clients are to be counted once only, regardless of the
number of therapies they receive at the individual DTC. Clients are to only be counted once
so that the Department can report on the total number of clients using the DTC Program.
Therefore, a client receiving two different service types (e.g. physiotherapy and podiatry)
39
would only be counted as one client. For this category clients must be either from the
community or low-care residents of a Commonwealth funded aged care facility.
If a client leaves the DTC and later returns during the reporting period, they should not be
counted again.
Number of clients by individual therapy service
‗Number of clients by individual therapy service‘ is the number of clients that that receive
each type of therapy or service. This is so that the Department can report on the number of
clients assisted by individual types of therapy or services. For this category clients are to be
counted once for each therapy or service they receive at the individual DTC. If a client
receives more than one therapy or service, they are to be counted once under each type of
therapy or service they receive. For example, a client in receipt of occupational therapy and
speech therapy would be counted once under occupational therapy AND once under speech
therapy.
As some Therapy and Services are delivered to a group of clients, the number of clients by
individual therapy service is collected separately for group therapy types. For group sessions
provide the number of clients in that session.
Organisations are to collect the individual and group client numbers for each of the various
Therapy and Services the DTC provides as per the Funding Agreement or approved by the
Department.
If a client leaves the DTC and later returns during the reporting period and continues with the
same therapy type they had received previously, they should not be counted again.
However, if they were to start a new therapy type then they would be counted for that new
therapy type.
Number of hours of therapy received by clients
‗Number of hours of therapy received by client‘ is the number of hours of the therapy or
service received by clients. As some Therapy and Services are delivered to a group of
clients, the number of hours of therapy delivered is collected separately for group therapy
types. For group sessions multiply the time by the number of clients in the group. One hour
of a group session with ten clients will count as ten hours of therapy received by clients.
Initial case management and assessment can be included as part of the therapy hours but
any time used for administration tasks is not to be included.
Organisations are to collect the number of hours of therapy received by clients for each of
the various Therapy and Services the DTC provides as per the Funding Agreement or
approved by the Department.
Number of hours of therapy delivered by the DTC
‗Number of hours of therapy delivered by the DTC‘ is the number of hours of the therapy the
DTC delivers regardless of how many clients are included in the therapy. Therefore one hour
of a group session with ten clients will count as one hour of therapy delivered by the DTC.
Initial case management and assessment can be included as part of the therapy hours but
any time used for administration tasks is not to be included.
Organisations are to collect the number of hours of therapy delivered by the DTC for each of
the various Therapy and Services the DTC provides as per the Funding Agreement or
approved by the Department.
40
14.5
Proportional Reporting
Proportional reporting reduces the amount of reporting by DTCs with lower Funding levels.
Organisations with a single DTC in their Funding Agreement that has an annual Funding
amount of less than $100,000 (excluding GST) are not required to provide progressive
reports. This applies to both the progressive Service Activity Report and the progressive
Financial Accountability Report.
If Organisations have multiple DTCs under a single Funding Agreement, the individual
DTC‘s annual Funding is considered for determining proportional reporting for the
progressive Service Activity Report. An Organisation with multiple DTCs will only be required
to lodge a progressive Service Activity Report for those individual DTCs with over $100,000
(excluding GST) in annual funding.
If Organisations have multiple DTCs under a single Funding Agreement, a progressive
Financial Accountability Report will be required unless all the individual DTCs under the
Funding Agreement receive less than $100,000 (excluding GST) in annual Funding. As
Funding Agreements have a single financial budget table covering all multiple DTCs,
Organisations will need to include information from all DTCs if a progressive Financial
Accountability Report is required.
14.6
Quality Reporting
The Quality Reporting Program is the Australian Government‘s process for encouraging
community care providers to improve the quality of their service delivery. It requires
providers to report on how their services meet the Community Care Common Standards.
The Quality Reporting Program reviews the way Organisations meet Community Care
Common Standards. The Community Care Common Standards and reporting processes
were implemented on 1 March 2011.
It is envisaged that the DTC Program will in the future include Quality Reporting. If directed
to do so, all Organisations must participate in Quality Reporting based on the Community
Care Common Standards and the Community Care Common Standards Guide.
Quality Reporting uses a continuous quality improvement model to encourage Organisations
to look at the systems they have in place for delivering services and how these systems
might be improved.
The Quality reporting review is a six step process:
 notification of the review;
 self-assessment by the Organisation;
 on-site visit;
 quality review report;
 improvement plan; and
 follow-up and submission of an annual improvement plan.
The Community Care Common Standards Guide has been developed to assist both
Organisations and quality reviewers during the quality review process. The Guide can be
ordered through National Mailing and Marketing and is available in electronic form at
http://www.health.gov.au/internet/main/publishing.nsf/Content/ageing-publicat-commcarestandards.htm
41
Detailed information on Quality Reporting may be found at
http://www.health.gov.au/internet/main/publishing.nsf/Content/ageing-commcare-qualrepabout.htm
14.7
Common Standards
The Community Care Common Standards (Standards) were developed jointly by the
Australian Government and state and territory governments as part of broader community
care reforms to develop common arrangements that help to simplify and streamline the way
community care is delivered.
The Standards replace existing standards and are enforceable and apply to the DTC
Program. The three Common Standards are:

Standard 1: Effective Management

Standard 2: Appropriate Access and Service Delivery

Standard 3: Service User Rights and Responsibilities
Further detailed information about the Community Care Common Standards can be found in
the Community Care Common Standards Guide (the Guide). The Department recommends
providers use this guide which can be accessed on the Departmental website at
http://www.health.gov.au/internet/main/publishing.nsf/Content/ageing-publicat-commcarestandards.htm
14.8
„No response‟ Guidelines
Organisations must have a policy on how to respond when a client does not respond to a
scheduled visit. As part of the development of nationally consistent protocols to deal with
non-response from a client when a community care worker arrives to provide a scheduled
service, in June 2008 the Ministerial Conference on Ageing (MCA) agreed that a Guide for
Community Care Service Providers should be developed and implemented across
jurisdictions. This guide can be accessed on the department website at
http://www.health.gov.au/internet/main/publishing.nsf/Content/ageing-commcare-guideprofessional.htm
14.9
Software
Internet and email access is required for all Organisations as financial reporting for the DTC
Program will be completed and submitted electronically. Organisations must provide a
generic email address. Organisations are required to have software that is compatible with
the Department‘s. This includes the following Microsoft Office products: Word; Excel; Access
and PowerPoint 2000 or more recent. An internet browser equivalent to Internet Explorer 6
or greater is also required.
Organisations must also have appropriate information technology to send and receive
documents and information electronically. Access to the internet through broadband ADSL
or other connection with similar capacity is preferable. The Department will be expanding
electronic reporting for the DTC Program in the future.
42
14.10 Performance Management
The Funding Agreement prescribes possible sanctions for Organisations that do not meet
their performance management requirements. In addition to the sanctions prescribed in the
Funding Agreement, there are other sanctions that the Department can seek to impose on
an Organisation. These include increasing Organisational reporting requirements (in order to
better monitor performance) or instructing the Organisation to prepare and implement a
corrective action plan. Should an Organisation refuse to cooperate, the Department can rely
on the more severe sanctions legally enforceable under the terms of the Funding
Agreement.
The possible responses to a compliance breach that the Department may implement
include, but are not limited to:
 Request for explanation: Depending on the nature of the non-compliance, the
Department may formally write to the Organisation specifying the reasons that it
considers the Organisation‘s performance to be unsatisfactory, and requiring the
Organisation to respond within a specified timeframe setting out an explanation and
any proposed remedial action.
 Notice to remedy situation: The Department may formally notify the Organisation
that its performance is inadequate and specify a timeframe during which it must
improve its performance. The notice will set out any sanctions the Department will
impose on the Organisation if it does not rectify the situation within the specified
timeframe.
 Requirement to prepare corrective action plan: The Department may require the
Organisation to prepare a plan setting out how it plans to remedy the situation, an
option that is more focused on improvement.
 Increased Departmental reporting: Organisations who have failed to fully comply
with program requirements may, at the Department‘s discretion, be asked to
complete more regular service activity or financial activity reports, or else be
subjected to more frequent site visits – until such time as the Organisation becomes
fully compliant.
 Appointment of an independent expert: The Department may ask the
Organisation to engage an independent expert to assist it to become compliant with
program requirements.
 Suspension of payments: The Funding Agreement empowers the Department to
suspend payments to the Organisation where the Organisation fails to comply with
the terms of its Funding Agreement.
 Appointment of an administrator: The Funding Agreement empowers the
Department to appoint a Funds administrator to administer the DTC Funds provided
for under the Agreement, and provide assistance, support and advice to the board.
 Termination of Funding Agreement: The Funding Agreement empowers the
Department to terminate the Funding Agreement where the provider fails to comply
with the terms of the Funding Agreement.
43
15
Record Keeping
15.1
Overview
Organisations are responsible for managing information through good record keeping.
Records must be kept about the performance of the services Funded under the Funding
Agreement and in connection to progress against the aims, objectives and outcomes of the
Agreement. Financial and client records form part of the records kept.
Records must be managed in accordance with the following legislation:
 Privacy Act 1988

15.2
Australian Standard AS ISO 15489 - 2002, Records Management
Financial Records
Financial records must be retained by Organisations for a minimum of 7 years from the end
of the Funding Agreement, and, if requested, records must be made available to the
Commonwealth. Retention of financial records is essential to enable the Commonwealth to
be assured that Funds have been spent for the purpose they were provided under the
Funding Agreement.
15.3
Client Records
Records should be retained by the Organisation for at least 7 years from the date of the last
entry on the record.
Records should be kept secure and clients‘ privacy and confidentiality should be protected.
Accordingly, an Organisation‘s record keeping practices should conform to relevant
legislation such as the Privacy Act 1988.
The Act regulates the ways that ―personal information‖ is managed. ―Personal information‖ is
information capable of identifying a person directly or by inference, including an opinion.
It can be recorded in a material form or otherwise. Personal information could include a
person's name, address, date of birth, blood type, health diagnosis or Medicare number. The
Privacy Act does not cover de-identified statistical data where individuals cannot reasonably
be re-identified.
When handling personal information, Organisations must comply with:
 National Privacy Principles – http://www.privacy.gov.au/law/act/npp;

Information Privacy Principles – http://www.privacy.gov.au/law/act/ipp;

industry privacy codes approved by the Australian Information Commissioner
(approved privacy codes);

state or territory legislation relating to personal or health information; and

the Privacy Act 1988.
Other legislation which may apply to an Organisation‘s records includes the Archives Act
1983, the Freedom of Information Act 1982, and other legislation which authorises, or limits,
access to records held by the Organisation.
When disposing of client records, the Commonwealth confidentiality and privacy acts should
be consulted for the correct protocol.
44
Organisations must not disclose personal information, including client records, to the
Commonwealth, other than for reporting which must be in de-identified form. However,
personal information excludes the names of the Organisation or any Subcontractors‘ names
which the Organisation may choose to engage.
Under section 27.6 of the Funding Agreement, the Department may choose to disclose the
name(s) of the Organisation or any Subcontractor at any time.
45
16
Confidentiality and Privacy
16.1
Confidentiality Overview
Organisations must:
 comply with the confidentiality requirements in the Funding Agreement;

have policies and procedures to manage confidentiality of client information;

have mechanisms for the secure storage of confidential information; and

comply with any relevant state or territory legislation about personal health records
and privacy.
16.2
National Privacy Principles and the Australian Information
Commissioner
Organisations are required to conform to the National Privacy Principles. The Australian
Information Commissioner publishes a range of information sheets which are available at
http://www.privacy.gov.au/.
16.3
Collecting Client Information
Only information that is directly relevant to the DTC Program should be collected about
clients. Clients must be informed that de-identified information will be used to evaluate and
improve services, and that the Department has access to the information that is collected.
Information will be used by the Department only for statistical, planning and evaluation
purposes. The data will not be matched, in whole or in part, with any other information for the
purposes of identifying individuals. Any statistical information about clients which is made
public will not identify individuals.
Client information must remain confidential and not be provided to others unless it is with the
consent of the individual or it is lawful to provide the information to others. Consent to
disclosing information may be given expressly or it may be implied.
Confidentiality Statement
To inform clients about information collection safeguards, Organisations may wish to use
words such as:
Confidentiality
―We give statistics about our clients to the Australian Government to help plan and
improve services. Information about you will be kept confidential, and won‘t affect your
entitlement to services‖.
46
17
Complaints and Feedback
17.1
Complaint Management Process
Organisations must have in place effective complaints handling mechanisms and to ensure
that clients are aware of these procedures. Organisations must develop and distribute
written information as appropriate to clients about the role and responsibilities of the
manager and other staff (including volunteer staff), the rights of clients and the problem
solving mechanisms adopted by the Organisation.
A complaint should be handled locally (i.e. within the Organisation) in the first instance. The
Department will act as a facilitator in instances of dispute or where clients make complaints
about a DTC where the complaint cannot be resolved locally. The Department‘s primary
focus is on resolving the complaint. There are two main options for this – bilateral
negotiations in which the complainant need not have any dealings with the Organisation; and
mediated negotiations where face to face discussions between parties to the complaint are
held. Other options may be explored should these options be inappropriate or unsuccessful.
Please refer to the Department who will provide further information about procedures for
dealing with complaints.
The Organisation must advise the Department if there are any significant or serious
complaints that are likely to be made to the Minister, the Ombudsman or another statutory
complaint body. Early advice will assist the Department in providing prompt information on
the complaint.
While the focus is on complaints about government agencies, Ombudsman websites include
information which may be helpful for development or review of the Organisation‘s complaint
management policy. Some links are listed below:

Commonwealth Ombudsman - Better Practice Guide
http://www.ombudsman.gov.au/docs/better-practiceguides/onlineBetterPracticeGuide.pdf

NSW Ombudsman - Complaint Handling Kit for Community Service Organisations
http://www.ombo.nsw.gov.au/guideorganisations/guidecommservprovd.html

Victorian Ombudsman – Good Practice Guide
http://www.ombudsman.vic.gov.au/www/html/93-foreword.asp

NT Ombudsman – Effective Complaint Management Fact Sheets
http://www.ombudsman.nt.gov.au/public-agencies/effective-complaints-managementfact-sheets/

NT Ombudsman - Complaint management models
http://stingray.cbr.hosting-server.com.au/~ombudsma/wpcontent/uploads/2009/07/3_NT_Complaints_Management_Models.pdf

Qld Ombudsman – Developing Effective Complaint Management Policy
http://www.ombudsman.qld.gov.au/Portals/0/docs/Publications/CM_Resources/Developi
ng%20effective%20complaints%20management%20policy%20and%20procedures%202
006.pdf

WA Ombudsman – Guidelines
http://www.ombudsman.wa.gov.au/Publications/Guidelines.htm
47

Tasmanian Ombudsman – How to make a complaint
http://www.ombudsman.tas.gov.au/making_a_complaint/how_to_make_a_complaint

SA Ombudsman – Lodge a complaint
http://www.ombudsman.sa.gov.au/complaints/lodge-a-complaint-2

ACT Ombudsman – Tips and advice on making a complaint
http://www.ombudsman.act.gov.au/pages/making-a-complaint/tips-and-advice/
48
Appendix 1 Charter of Rights and Responsibilities for
Community Care
CHARTER OF RIGHTS
AND RESPONSIBILITIES FOR
COMMUNITY CARE
Aged Care Act 1997, Schedule 2 User Rights Principles
49
The Charter of Rights and Responsibilities for Community Care (the Charter) became law on
1 October 2009.
The Charter applies to people in receipt of Australian Government funded packages
legislated under the Aged Care Act 1997 (the Act):



Community Aged Care Packages (CACPs);
Extended Aged Care at Home (EACH); and
Extended Aged Care at Home Dementia (EACHD) packages.
Service providers under the National Respite for Carers Program (NRCP) will also need to
meet the terms and conditions of the Charter of Rights and Responsibilities as requirement
of their Funding Agreement.
Hard copies of the Charter may be ordered from National Mailing and Marketing on 02 6269
1060 and through email on health@nationalmailing.com.au.
If you have any enquiries regarding the Charter please ring the Aged Care Information Line
on freecall 1800 500 853.
To view the Charter in legislation go to the User Rights Amendment Principles 2009 (No. 2)
at http://www.comlaw.gov.au/Details/F2009L03559
noting that the legislative Instrument reflects the legislation drafting style and is therefore in
the third person. The implementation version of the Charter is in the first person.
50
Rights
As a care recipient I have the following rights:
1 GENERAL
a)
to be treated and accepted as an individual, and to have my individual preferences
respected
b)
to be treated with dignity, with my privacy respected
c)
to receive care that is respectful of me, my family and home
d)
to receive care without being obliged to feel grateful to those providing my care
e)
to full and effective use of all my human, legal and consumer rights, including the
right to freedom of speech regarding my care
f)
to be treated without exploitation, abuse, discrimination, harassment or neglect
2 PARTICIPATION
a)
to be involved in identifying the community care most appropriate for my needs
b)
to choose the care and services that best meet my assessed needs, from the
community care able to be provided and within the limits of the resources available
c)
to participate in making decisions that affect me
d)
to have my representative participate in decisions relating to my care if I do not have
capacity
3 CARE AND SERVICES
a)
to receive reliable, coordinated, safe, quality care and services which are appropriate
to my assessed needs
b)
to be given before, or within 14 days after I commence receiving care, a written plan
of the care and services that I expect to receive
c)
to receive care and services as described in the plan that take account of my lifestyle,
other care arrangements and cultural, linguistic and religious preferences
d)
to ongoing review of the care and services I receive (both periodic and in response to
changes in my personal circumstances), and modification of the care and services as
required
51
4 PERSONAL INFORMATION
a)
to privacy and confidentiality of my personal information
b)
to access my personal information
5 COMMUNICATION
a)
to be helped to understand any information I am given
b)
to be given a copy of the Charter of Rights and Responsibilities for Community Care
c)
to be offered a written agreement that includes all agreed matters
d)
to choose a person to speak on my behalf for any purpose
6 COMMENTS AND COMPLAINTS
a)
to be given information on how to make comments and complaints about the care
and services I receive
b)
to complain about the care and services I receive, without fear of losing the care or
being disadvantaged in any other way
c)
to have complaints investigated fairly and confidentially, and to have appropriate
steps taken to resolve issues of concern
7 FEES
a)
to have my fees determined in a way that is transparent, accessible and fair
b)
to receive invoices that are clear and in a format that is understandable
c)
to have my fees reviewed periodically and on request when there are changes to my
financial circumstances
d)
not to be denied care and services because of my inability to pay a fee for reasons
beyond my control
52
Responsibilities
As a care recipient I have the following responsibilities:
1 GENERAL
a) to respect the rights of care workers to their human, legal and industrial rights
including the right to work in a safe environment
b) to treat care workers without exploitation, abuse, discrimination or harassment
2 CARE AND SERVICES
a) to abide by the terms of the written agreement
b) to acknowledge that my needs may change and to negotiate modifications of care and
service when my care needs do change
c)
to accept responsibility for my own actions and choices even though some actions and
choices may involve an element of risk
3 COMMUNICATION
a) to give enough information to assist the approved provider to develop, deliver and
review a care plan
b) to tell the approved provider and their staff about any problems with the care and
services
4 ACCESS
a) to allow safe and reasonable access for care workers at the times specified in my care
plan or otherwise by agreement
b) to provide reasonable notice if I do not require a service
5 FEE
a) to pay any fee as specified in the agreement or negotiate an alternative arrangement
with the provider if any changes occur in my financial circumstances
b) to provide enough information for the approved provider to determine an appropriate
level of fee.
53
Appendix 2
Transition-Out Plan Guide
Aims
The Transition-Out Plan (Plan) must be developed and submitted to the Commonwealth for
approval within 6 months of commencement of the Funding Agreement. The aim of the Plan
is to ensure that the obligations of both parties upon termination or expiry of the Funding
Agreement are acknowledged and agreed and that there will be minimal disruption of service
delivery to clients. The Plan must be signed and dated by a person who has the authority to
bind the Organisation.
The Plan should:
-
aim to preserve the availability of services to Day Therapy Centre (DTC) clients and
to protect the employment of staff within the reasonable capacity of the Organisation.
(The Organisation is expected to comply with all relevant legislation regarding staff
entitlements and to the principle of fair play);
-
be a succinct document and should indicate that these issues have been addressed
and that the DTC has set aside resources for that purpose;
-
be able to be activated in the event of an impending service closure to ensure
continuity of care for clients;
-
address issues that enable the orderly transition of the services from the
Organisation to the Commonwealth or its nominated alternative Organisation on
termination or expiry of the Funding Agreement; and
-
include a strategy for any specific requirements for Therapy and Services.
If the Organisation, following submission of the Plan, is no longer able to provide DTC
Services and is unable to comply with all elements of the approved Plan, the Department
should be notified as soon as this becomes evident. In such instances the Commonwealth
and Organisation will work together to determine the priority of obligations relating to the
Plan.
Elements of the Plan
The following elements are intended as a guide and should be considered for inclusion in the
Plan. Each Plan will depend on individual arrangements and the outcome of any
negotiations.
 Auspicing body
Include name, address, and relevant contacts (positions only, do not include names as these
are subject to change).
 Day Therapy Centre details
Include name, physical address of the DTC/s, and relevant contacts (positions only, do not
include names).
 Program description
Provide a brief description of the range of therapeutic and ancillary services provided.
Include information and contact details (positions only, do not include names) about
organisations with which the DTC has linkages. Identify other programs at the location e.g.
HACC, packages etc.
54
 Organisational arrangements
Include information on administrative policies, processes and procedures and operational
protocols, such as:

sub-contracting arrangements;

strategies;

monitoring;

audit arrangements;

identification of geographical areas serviced, including any cross border
arrangements;

hours of operation;

staff processes; and

any additional services provided by the DTC.
 Timeframe for transition
Specify the transition-out period (average is one to three months, to be negotiated and
agreed with the Department). Include a timetable for the transition: events, milestones etc.
Identify the timing of advice to clients, staff, carers (if appropriate), Special Needs groups
and all other stakeholders.
 Staffing arrangements
Include staffing details and the basis on which DTC staff are employed, e.g. awards.
Arrangements for transition of staff to a new Organisation (subject to the agreement of the
new Organisation). While there is provision in Project funding for staff entitlements, the Plan
should address conditions and arrangements for staff not wishing to transfer, e.g. redeployment, redundancy.
 Organisation property/ accommodation
Information about what accommodation arrangements exist for premises currently occupied
by the Organisation. Would the space currently used be available on termination of the
agreement? If available, arrangements required to transfer e.g. lease arrangements, etc.
 Assets
In accordance with the Funding Agreement (clause 31.4), details of all assets purchased
with Commonwealth funding are to be recorded in an assets register. The Assets Register
should be attached to the Plan and kept current for the duration of the agreement.
Identify how and when the transfer of assets to the Commonwealth or nominee is to take
place, e.g. whether the assets are to be sold and proceeds paid to the Commonwealth, and
arrangements for this.
 Information and records
Identify all documents necessary to enable services similar to the existing service to be
provided by the Commonwealth or its nominee, and arrangements for their transfer to the
Commonwealth or its nominee. In particular, the Organisation should consider
arrangements for the transfer of client records, giving due regard to privacy requirements.
55
 Intellectual property and Database arrangements
Arrangements should be set out for the delivery to the Commonwealth of any databases or
directories that are used in providing services as per the Funding Agreement. If applicable,
an intellectual property register with up-to-date contact details of all owners and licensees of
intellectual property should also be attached to the Plan. If applicable, identify arrangements
for the transfer of any relevant software.
 Financial records
Acknowledge that all financial acquittances and the final report will be actioned in
accordance with the conditions set down in the Funding Agreement.
 Service contracts
Arrangements to novate (transfer) to the Commonwealth‘s nominee all contracts relating to
services provided or any other relevant contracts to which the Organisation is a party,
including sub-contractors.
56
Appendix 3
Guidelines
Commonwealth HACC Police Certificate
Commonwealth HACC Program
Police Certificate Guidelines
MARCH 2012
57
1
INTRODUCTION
The Aged Care Funding Agreement sets out the conditions under which service providers are funded
by the Commonwealth Government for activities under the Commonwealth HACC Program.
These Guidelines also apply to the National Respite for Carers Program (NRCP), Assistance
with Care and Housing for the Aged (ACHA) Program, Day Therapy Centres (DTC) Program,
Commonwealth Respite and Carelink Centres (CRCC) Program and the National Carer
Counselling Program (NCCP).
The Police Certificate Guidelines are an attachment to the Aged Care Funding Agreement and
supplement the information in the Commonwealth HACC Program Manual. The Guidelines have been
developed to assist service providers with the management of police check requirements under the
Commonwealth HACC Program.
Police checks are intended to complement robust recruitment practices and are part of a service
provider‘s responsibility to ensure all staff, volunteers and executive decision makers are suitable to
provide services to clients of the Commonwealth HACC Program.
58
2
YOUR OBLIGATIONS
Service providers have a responsibility to ensure that all staff, volunteers and executive decision
makers working in Commonwealth HACC services are suitable for the roles they are performing. They
should undertake thorough background checks to select staff in accordance with the requirements
under the Aged Care Funding Agreement and the Community Care Common Standards.
As part of this, service providers must ensure national criminal history record checks, not more than
three years old, are held by:



staff who are reasonably likely to interact with clients;
volunteers who have unsupervised interaction with clients; and
executive decision makers.
Service providers should ensure they have policies and procedures in place to assess police
certificates. A service provider‘s decision to employ or retain the services of a person with any
relevant recorded convictions will need to be rigorous, defensible and transparent. For information
about assessing police certificates for staff, volunteers and executive decision makers see
5 Assessing a Police Certificate in these Guidelines.
59
3 POLICE CERTIFICATES
3.1
Police certificates and police checks
A police certificate is a report of a person‘s criminal history; a police check is the process of checking
a person‘s criminal history. The two terms are often used interchangeably in aged care.
3.2
Police certificate requirements
A police certificate that satisfies requirements under the Aged Care Funding Agreement and
Commonwealth HACC Program Manual is a nation wide assessment of a person‘s criminal history
(also called a ―National Criminal History Record Check‖ or a ―National Police Certificate‖) prepared by
the Australian Federal Police, a state or territory police service, or a CrimTrac accredited agency.
For more information about assessing police certificates, including the different types, please see:
5: Assessing a Police Certificate.
3.3
CrimTrac certificates
Police certificates or reports prepared by CrimTrac accredited agencies are considered by the
Department as being prepared on behalf of the police services and therefore meet the Department‘s
requirements. More information about CrimTrac is available at: www.crimtrac.gov.au
3.4
Statutory declarations
Statutory declarations are generally only required in addition to police checks in two instances:


for essential new staff, volunteers and executive decision makers who have applied for, but
not yet received, a police certificate; and
for any staff, volunteers or executive decision makers who have been a citizen or permanent
resident of a country other than Australia after the age of 16.
In these two instances, a staff member, volunteer or executive decision maker can sign a statutory
declaration stating either that they have never, in Australia or another country, been convicted of an
offence or, if they have been convicted of an offence, setting out the details of that offence. Note that
a person is entitled to sign a statutory declaration stating that they have not been convicted of an
offence if they have been convicted of an offence but the conviction is a ‗spent‘ conviction (see
5.8 Spent convictions).
Statutory declarations relating to police certificate requirements should be made on the form
prescribed under the Commonwealth Statutory Declarations Act 1959 (the Declarations Act). Anyone
who makes a false statement in a statutory declaration is guilty of an offence under the Declarations
Act.
A statutory declaration template is provided at Appendix 2. More information about statutory
declarations is available at: www.ag.gov.au/statdec
60
4 STAFF, VOLUNTEERS AND EXECUTIVE DECISION MAKERS
4.1
Staff, volunteers and executive decision makers
Police certificates, not more than three years old, must be held by:



4.2
staff who are reasonably likely to interact with clients;
volunteers who have unsupervised interaction with clients; and
executive decision makers.
Definition of a staff member
A staff member is defined, for the purposes of the Guidelines, as a person who:



has turned 16 years of age; and
is employed, hired, retained or contracted by the service provider (whether
directly or through an employment or recruitment agency) to provide care or
other services under the control of the service provider; and
interacts, or is reasonably likely to interact, with clients.
Examples of individuals who are staff members include:


4.3
employees and subcontractors of the service provider who provide services to clients (this
includes all staff employed, hired, retained or contracted to provide services under the control
of the service provider whether in a community setting or in the client‘s own home);
employees and subcontractors who contact the client by phone.
Definition of non-staff members
Individuals who are not considered to be staff members, for the purposes of the Guidelines, include:


employees who, for example, prepare the payroll, but do not interact with clients;
independent contractors.
Generally, an independent contractor is a person:







who is paid for results achieved;
provides all or most of the necessary materials and equipment to complete the work;
is free to delegate work to others;
has freedom in the way that they work;
does not provide services exclusively to the service provider;
is free to accept or refuse work; and
is in a position to make a profit or loss.
For the purposes of these Guidelines, a subcontractor who has an ongoing contractual relationship
with the service provider is not taken to be an independent contractor but is regarded as a staff
member. A person who is contracted to perform a specific task on an ad hoc basis may fall within the
definition of an independent contractor.
Having an Australian Business Number (ABN) does not automatically make a person an independent
contractor.
61
4.4
Definition of a volunteer
A volunteer is defined, for the purposes of the Guidelines, as a person who:




is not a staff member; and
offers his or her services to the service provider; and
provides care or other services on the invitation of the service provider and not solely on the
express or implied invitation of a client; and
has, or is reasonably likely to have, unsupervised interaction with clients.
A student undertaking a clinical placement in the community who is over 18 years and has, or is
reasonably likely to have, unsupervised interaction with clients would be a volunteer.
Examples of persons who are not volunteers under this definition include:



4.5
persons volunteering who are under the age of 16 (except where they are a full-time student,
then under the age of 18);
persons who are expressly or impliedly invited into the client‘s home by a client (for example,
family and friends of the client); and
persons who only have supervised interaction with clients.
Definition of unsupervised interaction
Unsupervised interaction is defined as interaction with a client where a volunteer is unaccompanied
by another volunteer or staff member.
In regard to volunteers, if volunteers are visiting a client in pairs it is not a requirement for either of
those volunteers to have a police certificate.
4.6
Definition of an executive decision maker
An executive decision maker is:

a member of the group of persons who is responsible for the executive decisions of the entity
at that time; or
 any other person who has responsibility for (or significant influence over) planning, directing
or controlling the activities of the entity at that time; or
 any person who is responsible for the day-to-day operations of the service, whether or not the
person is employed by the entity.
In determining who are executive decision makers, service providers need to consider the functional
role individuals perform rather than their job title.
4.7
New staff
While service providers should aim to ensure all new staff members, volunteers and executive
decision makers have obtained a police certificate before they start work, there are exceptional
circumstances where new staff, volunteers and executive decision makers can commence work prior
to receipt of a police certificate.
A person can start work prior to obtaining a police certificate if:



the care or other service to be provided by the person is essential; and
an application for a police certificate has been made before the date on which the person first
becomes a staff member or volunteer; and
until the police certificate is obtained, the person will be subject to appropriate supervision
during periods when the person interacts with clients; and
62

the person makes a statutory declaration stating either that they have never, in Australia or
another country, been convicted of an offence or, if they have been convicted of an offence,
setting out the details of that offence.
In such cases, the service provider must have policies and procedures in place to demonstrate:




4.8
that an application for a police certificate has been made;
the care and other service to be provided is essential;
the way in which the person would be appropriately accompanied; and
how a person will be appropriately accompanied in a range of working conditions, e.g. during
holiday periods when staff numbers may be limited.
Staff, volunteers and executive decision makers who have resided
overseas
Staff members, volunteers and executive decision makers who have been citizens or permanent
residents of a country other than Australia since turning 16 years of age must make a statutory
declaration before starting work with any Commonwealth HACC service provider, stating either that
they have never, in a country other than Australia, been convicted of an offence or, if they have been
convicted of an offence, setting out the details of that offence.
This statutory declaration is in addition to a current national police certificate, as this reports only
those convictions recorded in Australian jurisdictions.
63
5 ASSESSING A POLICE CERTIFICATE
5.1
Police certificate format
Police certificates may have different formats, including printed certificates or electronic reports. Every
police certificate or report must record:



the person‘s full name and date of birth;
the date of issue; and
a reference number or similar.
A service provider must be satisfied that a certificate is genuine and has been prepared by a Police
service or a CrimTrac accredited agency. An original police certificate or a certified copy should be
provided rather than an uncertified photocopy.
It is up to the service provider to be satisfied that a certificate meets the requirements, and enables
them to assess a person‘s criminal history. Any police certificate decision should be documented by
the service provider. For more information on record keeping, and the sighting and storing of police
certificates, see 6 Police Check Administration.
5.2
Purpose of a police certificate
A police certificate that best satisfies requirements under the Commonwealth HACC Program police
check regime is one obtained for the purposes of aged care. However, a national criminal history
record check undertaken for another purpose will generally also satisfy the requirements. It is best
practice to specify the purpose of the police check to the police service or CrimTrac agency issuing
the certificate.
In place of a national criminal history record check, service providers may accept staff members and
volunteers who hold a card issued by a state or territory authority following a vetting process that
enables the card holder to work with vulnerable people. Executive decision makers are required to
have a national criminal history record check (see 5.5 Assessing information obtained from a police
certificate for executive decision makers).
5.3
Police certificate disclosure
A police certificate discloses whether a person:



has been convicted of an offence;
has been charged with and found guilty of an offence but discharged without conviction; or
is the subject of any criminal charge still pending before a Court.
The information on the certificate is drawn from all Australian jurisdictions and is subject to relevant
state and territory spent conviction schemes. For more information about spent convictions, please
see 5.8 Spent convictions.
5.4
Assessing information obtained from a police certificate for staff and
volunteers
Commonwealth HACC service providers may use discretion when assessing a person‘s criminal
history to determine whether recorded offences are relevant to the job. The principle that service
providers should apply is to determine the risk of harm to clients.
64
Service providers should ensure they have policies and procedures in place to assess police
certificates. A service provider‘s decision to employ or retain the services of a person with any
relevant recorded convictions will need to be rigorous, defensible and transparent.
For more information see: 5.7 Refusing or terminating employment on the basis of a criminal record.
A risk assessment approach
The following considerations are intended as a guide to assist service providers to assess a person‘s
police certificate for their suitability to be either a staff member or volunteer for a Commonwealth
HACC service provider:
Access: the degree of access to clients, their belongings, and their personal information.
Considerations include whether the individual will work alone or as part of a team, the level and
quality of direct supervision, the location of the work, i.e. community or home based settings.
Relevance: the type of conviction and sentence imposed for the offence in relation to the duties a
person is, or may be undertaking. A service provider should only have regard to any criminal record
information indicating that the person is unable to perform the inherent requirements of the particular
job.
Proportionality: whether excluding a person from employment is proportional to the type of conviction.
Timing: when the conviction occurred.
Age: the ages of the person and of any victim at the time the person committed the offence. The
service provider may place less weight on offences committed when the person is younger, and
particularly under the age of 18 years. The service provider may place more weight on offences
involving vulnerable persons.
Decriminalized offence: whether or not the conduct that constituted the offence or to which the charge
relates has been decriminalized since the person committed the offence.
Employment history: whether an individual has been employed since the conviction and the outcome
of referee checks with any such employers.
Individual‘s information: the findings of any assessment reports following attendance at treatment or
intervention programs, or other references; and the individual‘s attitude to the offending behaviour.
Pattern: whether the conviction represents an isolated incident or a pattern of criminality.
65
Likelihood: the probability of an incident occurring if the person continues with, or is employed for,
particular duties.
Consequences: the impact of a prospective incident if the person continues, or commences, particular
duties.
Treatment strategies: procedures that will assist in reducing the likelihood of an incident occurring
including, for example, modification of duties.
5.5
Assessing information obtained from a police certificate for executive
decision makers
Commonwealth HACC service providers may use limited discretion when assessing a person's
criminal history to determine whether any recorded offences are relevant to performing the functions
and duties of an executive decision maker.
A Commonwealth HACC service provider must not allow a person whose police certificate records a
precluding offence to perform the functions and duties of an executive decision maker. The offences
that preclude a person under the Commonwealth HACC Program police check regime from
performing the functions and duties of an executive decision maker are:
•
•
•
a conviction for murder or sexual assault; or
a conviction and sentence to imprisonment for any other form of assault; or
a conviction for an indictable offence within the past 10 years.
Whether or not an offence is an indictable offence will depend on legislation within the jurisdiction.
Service providers might need to seek legal advice if there is any doubt. If a conviction for what would
otherwise be a precluding offence is considered 'spent' under the law of the relevant jurisdiction (see
5.8 Spent convictions), the conviction does not preclude the person from performing the functions and
duties of an executive decision maker.
While a service provider may not use discretion to allow a person whose police certificate records a
conviction for a precluding offence to perform the functions and duties of an executive decision
maker, service providers may use discretion in determining whether any other recorded convictions
are relevant to performing those functions and duties. The risk assessment approach set out in 5.4
may be used as a guide to assist service providers to assess the relevance of any non-precluding
offences to performing the functions and duties of an executive decision maker.
A service provider‘s decision to allow a person with any recorded convictions to perform the functions
and duties of an executive decision maker must be rigorous, defensible and transparent. The
overriding principle that service providers should bear in mind is to minimise the risk of harm to
clients.
5.6
Committing an offence during the three year police certificate expiry
period
Service providers must take reasonable measures to require each of their staff members, volunteers
and executive decision makers to notify them if they are convicted of an offence in the three year
period between obtaining and renewing their police check. If an executive decision maker has been
convicted of a precluding offence they must not be allowed to continue as an executive decision
maker.
66
5.7
Refusing or terminating employment on the basis of a criminal record
If a service provider refuses or terminates employment on the basis of a person‘s conviction for an
offence, the conviction must be considered relevant to the inherent requirements of the position. If in
any doubt, service providers should seek legal advice regarding the refusal or termination of a
person‘s employment on the basis of their criminal record.
Under the Fair Work Act 2009 there are provisions relating to unfair dismissal and unlawful
termination by employers. More information about the Fair Work Act 2009 is available at:
www.fwa.gov.au. In addition, under the Human Rights and Equal Opportunity Act 1986, the Australian
Human Rights Commission has the power to inquire into discrimination in employment on the ground
of criminal record.
If a person feels they have been discriminated against based on their criminal record in an
employment decision of a service provider, they may make a complaint to the Australian Human
Rights Commission. Further information on discrimination on the basis of criminal record is available
at: www.humanrights.gov.au
5.8
Spent convictions
Convictions that are considered ‗spent‘ under state, territory and Commonwealth legislation will not be
disclosed on a police certificate unless the purpose for the application (for example, working with
children) is exempt from the relevant spent conviction scheme. If a conviction has been ‗spent‘ the
person is not required to disclose the conviction. The aim of the scheme is to prevent discrimination
on the basis of old minor convictions, once a waiting period (usually 10 years) has passed and
provided the individual has not re-offended during this period.
Spent conviction legislation varies from jurisdiction to jurisdiction. In some circumstances or
jurisdictions certain offences cannot be spent.
Further Information on spent convictions can be found at
http://www.afp.gov.au/what-we-do/police-checks/spent-convictions-scheme.aspx
67
6 POLICE CHECK ADMINISTRATION
6.1
Record keeping responsibilities
Service providers must keep records that can demonstrate that:



there is a police certificate, which is not more than three years old, for each staff member,
volunteer and executive decision maker;
an application has been made for a police certificate where a new staff member, volunteer or
executive decision maker does not have a police certificate; or
a statutory declaration has been provided by any staff member, volunteer or executive
decision maker who has not yet obtained a police certificate or was a citizen or permanent
resident of a country other than Australia.
How a service provider demonstrates their compliance with record keeping requirements is a decision
for their Service provider to make based on their circumstances.
6.2
Sighting and storing police certificates
The collection, use, storage and disclosure of personal information about staff members and
volunteers must be in accordance with the Privacy Act 1988 (Commonwealth). State and territory
privacy laws can also impact on the handling of personal information such as a police certificate.
Further information about privacy is available at: www.privacy.gov.au
When individuals undertake to obtain their own police certificate, or employment agencies hold police
certificates, service providers should sight an original or a certified copy of the police certificate and
the information and reference number should be recorded on file.
If it is impossible to assess a person‘s police certificate for any reason, the individual may be required
to obtain a new police certificate in order for the service provider to meet their responsibilities under
the Commonwealth HACC Program police check regime.
6.3
Cost of police certificates
Service providers have a responsibility to ensure all staff members, volunteers and executive decision
makers undergo police checks. However, the payment of the cost of obtaining a police certificate is a
matter for negotiation between the service provider and the individual.
Individuals may be able to claim the cost of the police certificate as a work-related expense for tax
purposes. Further advice on this issue is available from the Australian Taxation Office through their
website at: www.ato.gov.au
Volunteers may be eligible to obtain a police certificate at a reduced cost whether the certificate is
requested by an individual or by a service provider on behalf of a volunteer. This should be confirmed
with the agency issuing the police certificate.
6.4
Obtaining certificates on behalf of staff, volunteers or executive decision
makers
A person may provide a police certificate to the service provider or give consent for the service
provider to obtain a police certificate on their behalf.
68
Service providers can obtain consent forms from the relevant police services or a CrimTrac accredited
agency. In some jurisdictions, parental consent may be required to request a police certificate for an
individual under the age of 18 years.
6.5
Police certificate expiry
Police certificates for all staff, volunteers and executive decision makers must remain current and
need to be renewed every three years before they expire. If a police certificate expires while a staff
member is on leave, the new certificate must be obtained before the staff member can resume
working at the service. Service providers should note that the application or renewal process can take
longer than eight weeks.
6.6
Documenting decisions
Any decision taken by a service provider should be documented in a way that can demonstrate to an
auditor the date the decision was made, the reasons for the decision, and the people involved in the
decision, i.e. the service provider, the individual, a legal representative, board members etc.
6.7
Monitoring compliance with police check requirements
Service providers must have policies and procedures in place to demonstrate suitable management
and monitoring of the police certificate requirements for all staff members, volunteers and executive
decision makers. This includes, for example:



three-year police check renewal procedures;
appropriate storage, security and access requirements for information recorded on a police
certificate; and
evidence of a service provider‘s decisions in respect of all individuals, or where staff are
contracted through another agency, evidence of contractual arrangements with the agency
that demonstrates the police certificate requirements.
The Community Care Common Standards outline the requirements for service providers to have
appropriate policies and procedures in place to manage relevant legislative and regulatory
requirements for police checks. Specific references to police checks requirements are made in
Standard 1: Effective Management, Expected Outcome 1.2 Regulatory Requirements and Expected
Outcome 1.7 Human Resource Management.
Under the Community Care Common Standards, quality reviewers may check the currency of a
service provider‘s police checks, and that they have appropriate systems and procedures in place to
ensure police checks remain current.
For more information see: 6.1 Record keeping responsibilities.
69
APPENDIX 3a - POLICE SERVICE CONTACT DETAILS
Australian Federal
Phone: (02) 6202 3333
Police (for ACT)
http://www.afp.gov.au/what-we-do/police-checks/national-policechecks.aspx
New South Wales
Phone: (02) 8835 7888
Police Service
http://www.police.nsw.gov.au/about_us/structure/specialist_operations/fore
nsic_services/criminal_records_section
Victoria Police
Phone: 1300 881 596
http://www.police.vic.gov.au/content.asp?Document_ID=274
Queensland
Phone: (07) 3364 6705
Police Service
http://www.police.qld.gov.au/services/purchase/polcert.htm
Western Australia
Phone: (08) 9268 7645
Police Service
http://www.police.wa.gov.au/ABOUTUS/OurServices/ClearanceCertificates
/tabid/1202/Default.aspx
South Australia
Phone: (08) 8204 2455
Police
http://www.sapolice.sa.gov.au/sapol/services/information_requests/national
_police_certificate.jsp
Tasmania Police
Phone (03) 6230 2928
http://www.police.tas.gov.au/services-online/police-history-record-checks/
Northern Territory
Phone: 1800 723 368
http://www.pfes.nt.gov.au/~/media/Files/Forms_Licences_Permits_Publicat
ions/Police/Forms/PF095-CriminalHistoryCheck-Application.ashx
70
APPENDIX 3b- STATUTORY DECLARATION TEMPLATE
Commonwealth of Australia
STATUTORY DECLARATION
Statutory Declarations Act 1959
1 Insert the
name,
address and
occupation of
person
making the
declaration
2 Set out matter
declared to in
numbered
paragraphs
1
I,
make the following declaration under the Statutory Declarations Act 1959:
2
I declare that (place a tick or cross in applicable box):
□
since turning 16 years of age, I have been a citizen or permanent resident of a
country/countries other than Australia.
□
since turning 16 years of age, I have never been a citizen or permanent resident of a
country/countries other than Australia
[Delete whichever declaration is not applicable and initial beside deletion]
I declare that I have never been convicted of any offence in any country.
OR
I declare that I have been convicted of the following offence(s):
<Insert details of offence(s)>
I understand that a person who intentionally makes a false statement in a statutory declaration is
guilty of an offence under section 11 of the Statutory Declarations Act 1959, and I believe that the
statements in this declaration are true in every particular.
3 Signature of
person making
the declaration
3
4 Place
5 Da y
6 Month and year
7 Signature of
person before
whom the
declaration is
made (see
over)
Declared at
4
5
on
of
6
78
Before me,
8 F u ll name,
qu a l if ica t io n
and address of
person before
whom the
declaration is
made (in
printed letters)
71
Note 1 A person who intentionally makes a false statement in a statutory declaration is guilty of an
offence, the punishment for which is imprisonment for a term of 4 years — see section 11 of the
Statutory Declarations Act 1959.
Note 2 Chapter 2 of the Criminal Code applies to all offences against the Statutory Declarations Act
1959 — see section 5A of the Statutory Declarations Act 1959.
A statutory declaration under the Statutory Declarations Act 1959 may be made before–
(1) a person who is currently licensed or registered under a law to practise in one of the following occupations:
Chiropractor
Dentist
Legal practitioner
Medical practitioner
Nurse
Optometrist
Patent attorney
Pharmacist
Physiotherapist
Psychologist
Trademarks attorney
Veterinary surgeon
(2) a person who is enrolled on the roll of the Supreme Court of a State or Territory, or the High Court of Australia, as a legal
practitioner (however described); or
(3) a person who is in the following list:
Agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public
Australian Consular
Officer or Australian Diplomatic Officer (within the meaning of the Consular Fees Act 1955)
Bailiff
Bank officer with 5 or more continuous years of service
Building society officer with 5 or more years of continuous service
Chief executive officer of a Commonwealth court
Clerk of a court
Commissioner for Affidavits
Commissioner for Declarations
Credit union officer with 5 or more years of continuous service
Employee of the Australian Trade Commission who is:
(a) in a country or place outside Australia; and
(b) authorised under paragraph 3 (d) of the Consular Fees Act 1955; and
(c) exercising his or her function in that place Employee
of the Commonwealth who is:
(a) in a country or place outside Australia; and
(b) authorised under paragraph 3 (c) of the Consular Fees Act 1955; and
(c) exercising his or her function in that place Fellow of the National Tax Accountants‘ Association Finance
company officer with 5 or more years of continuous service
Holder of a statutory office not specified in another item in this list
Judge of a court
Justice of the Peace
Magistrate
Marriage celebrant registered under Subdivision C of Division 1 of Part IV of the Marriage Act 1961
Master of a court
Member of Chartered Secretaries Australia
Member of Engineers Australia, other than at the grade of student
Member of the Association of Taxation and Management Accountants
Member of the Australasian Institute of Mining and Metallurgy
Member of the Australian Defence Force who is:
(a) an officer; or
(b) a non-commissioned officer within the meaning of the Defence Force Discipline Act 1982 with 5 or more
years of continuous service; or
(c) a warrant officer within the meaning of that Act
72
Member of the Institute of Chartered Accountants in Australia, the Australian Society of Certified Practising
Accountants or the National Institute of Accountants
Member of:
(a) the Parliament of the Commonwealth; or
(b) the Parliament of a State; or
(c) a Territory legislature; or
(d) a local government authority of a State or Territory
Minister of religion registered under Subdivision A of Division 1 of Part IV of the Marriage Act 1961
Notary public
Permanent employee of the Australian Postal Corporation with 5 or more years of continuous service who is
employed in an office supplying postal services to the public
Permanent employee of:
(a) the Commonwealth or a Commonwealth authority; or
(b) a State or Territory or a State or Territory authority; or
(c) a local government authority;
with 5 or more years of continuous service who is not specified in another item in this list
Person before whom a statutory declaration may be made under the law of the State or Territory in which the declaration is
made
Police officer
Registrar, or Deputy Registrar, of a court
Senior Executive Service employee of:
(a) the Commonwealth or a Commonwealth authority; or
(b) a State or Territory or a State or Territory authority Sheriff
Sheriff‘s officer
Teacher employed on a full-time basis at a school or tertiary education institution
73

DAY THERAPY CENTRE PROGRAM PROGRAM MANUAL

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